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NORTH CAROLINA
REGISTER
Volume 21, Issue 04
Pages 344 - 420
August 15, 2006
This issue contains documents officially filed
through July 25, 2006.
Office of Administrative Hearings
Rules Division
424 North Blount Street (27601)
6714 Mail Service Center
Raleigh, NC 27699-6714
(919) 733-2678
FAX (919) 733-3462
Julian Mann III, Director
Camille Winston, Deputy Director
Molly Masich, Director of APA Services
Dana Sholes, Publications Coordinator
Julie Edwards, Editorial Assistant
Felicia Williams, Editorial Assistant
Lisa Johnson, RRC Administrative Assistant
IN THIS ISSUE
I. EXECUTIVE ORDERS
Executive Order No. 104 .........................................344
II. IN ADDITION
Brownfields Property – Southern Bank & Trust......345
Building Code Council ............................................346 - 347
III. PROPOSED RULES
Administration
Environment & Natural Resources, Dept. of........348 – 350
Agriculture
Agriculture, Board of ...........................................350 - 352
Commerce
Credit Union Division ..........................................352 - 353
Health and Human Services
Social Services Commission ................................353 - 376
Justice
Sheriff's Education and Training Standards .........376 - 386
Commission
Alarm Systems Licensing Board..........................386 – 387
Labor
Labor/Elevator and Amusement Device Bureau ..387 – 388
Occupational Licensing Board & Commissions
General Contractors, Board for ............................388 – 390
Pharmacy, Board of..............................................390 – 395
Respiratory Care Board ........................................395 – 396
Recreational Therapy Licensure, Board of...........396 - 405
IV. RULES REVIEW COMMISSION.......................406 - 417
V. CONTESTED CASE DECISIONS
Index to ALJ Decisions............................................418 - 420
Text of Selected Decisions
For the CUMULATIVE INDEX to the NC Register go to:
http://reports.oah.state.nc.us/cumulativeIndex.pl
North Carolina Register is published semi-monthly for $195 per year by the Office of Administrative Hearings, 424 North Blount Street, Raleigh, NC
27601. North Carolina Register (ISSN 15200604) to mail at Periodicals Rates is paid at Raleigh, NC. POSTMASTER: Send Address changes to
the North Carolina Register, 6714 Mail Service Center, Raleigh, NC 27699-6714.
NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM
The North Carolina Administrative Code (NCAC) has four major classifications of rules. Three of these, titles, chapters, and sections are
mandatory. The major classification of the NCAC is the title. Each major department in the North Carolina executive branch of
government has been assigned a title number. Titles are further broken down into chapters which shall be numerical in order.
Subchapters are optional classifications to be used by agencies when appropriate.
NCAC TITLES TITLE 21
LICENSING BOARDS
TITLE 24
INDEPENDENT AGENCIES
1 ADMINISTRATION
2 AGRICULTURE & CONSUMER SERVICES
3 AUDITOR
4 COMMERCE
5 CORRECTION
6 COUNCIL OF STATE
7 CULTURAL RESOURCES
8 ELECTIONS
9 GOVERNOR
10A HEALTH AND HUMAN SERVICES
11 INSURANCE
12 JUSTICE
13 LABOR
14A CRIME CONTROL & PUBLIC SAFETY
15A ENVIRONMENT &NATURAL RESOURCES
16 PUBLIC EDUCATION
17 REVENUE
18 SECRETARY OF STATE
19A TRANSPORTATION
20 TREASURER
21* OCCUPATIONAL LICENSING BOARDS
22 ADMINISTRATIVE PROCEDURES
(REPEALED)
23 COMMUNITY COLLEGES
24* INDEPENDENT AGENCIES
25 STATE PERSONNEL
26 ADMINISTRATIVE HEARINGS
27 NC STATE BAR
28 JUVENILE JUSTICE AND DELINQUENCY
PREVENTION
1 Acupuncture
2 Architecture
3 Athletic Trainer Examiners
4 Auctioneers
6 Barber Examiners
8 Certified Public Accountant Examiners
10 Chiropractic Examiners
11 Employee Assistance Professionals
12 General Contractors
14 Cosmetic Art Examiners
16 Dental Examiners
17 Dietetics/Nutrition
18 Electrical Contractors
19 Electrolysis
20 Foresters
21 Geologists
22 Hearing Aid Dealers and Fitters
25 Interpreter/Transliterator
26 Landscape Architects
28 Landscape Contractors
29 Locksmith Licensing
30 Massage & Bodywork Therapy
31 Marital and Family Therapy
32 Medical Examiners
33 Midwifery Joint Committee
34 Funeral Service
36 Nursing
37 Nursing Home Administrators
38 Occupational Therapists
40 Opticians
42 Optometry
44 Osteopathic Examination (Repealed)
45 Pastoral Counselors, Fee-Based Practicing
46 Pharmacy
48 Physical Therapy Examiners
50 Plumbing, Heating & Fire Sprinkler
Contractors
52 Podiatry Examiners
53 Professional Counselors
54 Psychology
56 Professional Engineers & Land Surveyors
57 Real Estate Appraisal
58 Real Estate Commission
60 Refrigeration Examiners
61 Respiratory Care
62 Sanitarian Examiners
63 Social Work Certification
64 Speech & Language Pathologists &
Audiologists
65 Therapeutic Recreation Certification
66 Veterinary Medical
68 Substance Abuse Professionals
69 Soil Scientists
1 Housing Finance
2 Agricultural Finance Authority
3 Safety & Health Review
Board
4 Reserved
5 State Health Plan Purchasing
Alliance Board
Note: Title 21 contains the chapters of the various occupational licensing boards and Title 24 contains the chapters of independent agencies.
NORTH CAROLINA REGISTER
Publication Schedule for January 2006 – December 2006
FILING DEADLINES NOTICE OF TEXT PERMANENT RULE TEMPORARY
RULES
Volume &
issue
number
Issue date Last day
for filing
Earliest date for
public hearing
End of required
comment
period
Deadline to submit
to RRC
for review at
next meeting
Earliest Eff.
Date of
Permanent Rule
Delayed Eff. Date of
Permanent Rule
(first legislative
day of the next
regular session)
270th day from publication
in the Register
20:13 01/03/06 12/08/05 01/18/06 03/06/06 03/20/06 05/01/06 05/09/06 09/30/06
20:14 01/17/06 12/21/05 02/01/06 03/20/06 04/20/06 06/01/06 01/07 10/14/06
20:15 02/01/06 01/10/06 02/16/06 04/03/06 04/20/06 06/01/06 01/07 10/29/06
20:16 02/15/06 01/25/06 03/02/06 04/17/06 04/20/06 06/01/06 01/07 11/12/06
20:17 03/01/06 02/08/06 03/16/06 05/01/06 05/22/06 07/01/06 01/07 11/26/06
20:18 03/15/06 02/22/06 03/30/06 05/15/06 05/22/06 07/01/06 01/07 12/10/06
20:19 04/03/06 03/13/06 04/18/06 06/02/06 06/20/06 08/01/06 01/07 12/29/06
20:20 04/17/06 03/24/06 05/02/06 06/16/06 06/20/06 08/01/06 01/07 01/12/07
20:21 05/01/06 04/07/06 05/16/06 06/30/06 07/20/06 09/01/06 01/07 01/26/07
20:22 05/15/06 04/24/06 05/30/06 07/14/06 07/20/06 09/01/06 01/07 02/09/07
20:23 06/01/06 05/10/06 06/16/06 07/31/06 08/21/06 10/01/06 01/07 02/26/07
20:24 06/15/06 05/24/06 06/30/06 08/14/06 08/21/06 10/01/06 01/07 03/12/07
21:01 07/03/06 06/12/06 07/18/06 09/01/06 09/20/06 11/01/06 01/07 03/30/07
21:02 07/17/06 06/23/06 08/01/06 09/15/06 09/20/06 11/01/06 01/07 04/13/07
21:03 08/01/06 07/11/06 08/16/06 10/02/06 10/20/06 12/01/06 01/07 04/28/07
21:04 08/15/06 07/25/06 08/30/06 10/16/06 10/20/06 12/01/06 01/07 05/12/07
21:05 09/01/06 08/11/06 09/16/06 10/31/06 11/20/06 01/01/07 01/07 05/29/07
21:06 09/15/06 08/24/06 09/30/06 11/14/06 11/20/06 01/01/07 01/07 06/12/07
21:07 10/02/06 09/11/06 10/17/06 12/01/06 12/20/06 02/01/07 05/08 06/29/07
21:08 10/16/06 09/25/06 10/31/06 12/15/06 12/20/06 02/01/07 05/08 07/13/07
21:09 11/01/06 10/11/06 11/16/06 01/01/07 01/22/07 03/01/07 05/08 07/29/07
21:10 11/15/06 10/24/06 11/30/06 01/15/07 01/22/07 03/01/07 05/08 08/12/07
21:11 12/01/06 11/07/06 12/16/06 01/30/07 02/20/07 04/01/07 05/08 08/28/07
21:12 12/15/06 11/22/06 12/30/06 02/13/07 02/20/07 04/01/07 05/08 09/11/07
EXPLANATION OF THE PUBLICATION SCHEDULE
This Publication Schedule is prepared by the Office of Administrative Hearings as a public service and the computation of time periods are not to be deemed binding or controlling.
Time is computed according to 26 NCAC 2C .0302 and the Rules of Civil Procedure, Rule 6.
GENERAL
The North Carolina Register shall be published twice
a month and contains the following information
submitted for publication by a state agency:
(1) temporary rules;
(2) notices of rule-making proceedings;
(3) text of proposed rules;
(4) text of permanent rules approved by the Rules
Review Commission;
(5) notices of receipt of a petition for municipal
incorporation, as required by G.S. 120-165;
(6) Executive Orders of the Governor;
(7) final decision letters from the U.S. Attorney
General concerning changes in laws affecting
voting in a jurisdiction subject of Section 5 of
the Voting Rights Act of 1965, as required by
G.S. 120-30.9H;
(8) orders of the Tax Review Board issued under
G.S. 105-241.2; and
(9) other information the Codifier of Rules
determines to be helpful to the public.
COMPUTING TIME: In computing time in the
schedule, the day of publication of the North Carolina
Register is not included. The last day of the period so
computed is included, unless it is a Saturday, Sunday,
or State holiday, in which event the period runs until
the preceding day which is not a Saturday, Sunday, or
State holiday.
FILING DEADLINES
ISSUE DATE: The Register is published on the first
and fifteen of each month if the first or fifteenth of
the month is not a Saturday, Sunday, or State holiday
for employees mandated by the State Personnel
Commission. If the first or fifteenth of any month is
a Saturday, Sunday, or a holiday for State employees,
the North Carolina Register issue for that day will be
published on the day of that month after the first or
fifteenth that is not a Saturday, Sunday, or holiday for
State employees.
LAST DAY FOR FILING: The last day for filing for any
issue is 15 days before the issue date excluding
Saturdays, Sundays, and holidays for State
employees.
NOTICE OF TEXT
EARLIEST DATE FOR PUBLIC HEARING: The hearing
date shall be at least 15 days after the date a notice of
the hearing is published.
END OF REQUIRED COMMENT PERIOD
An agency shall accept comments on the text of a
proposed rule for at least 60 days after the text is
published or until the date of any public hearings held
on the proposed rule, whichever is longer.
DEADLINE TO SUBMIT TO THE RULES REVIEW
COMMISSION: The Commission shall review a rule
submitted to it on or before the twentieth of a month
by the last day of the next month.
FIRST LEGISLATIVE DAY OF THE NEXT REGULAR
SESSION OF THE GENERAL ASSEMBLY: This date is
the first legislative day of the next regular session of
the General Assembly following approval of the rule
by the Rules Review Commission. See G.S. 150B-
21.3, Effective date of rules.
EXECUTIVE ORDERS
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
344
EXECUTIVE ORDER NO. 104
AMENDING EXECUTIVE ORDER NO. 56, NORTH CAROLINA INTERAGENCY
COUNCIL FOR COORDINATING HOMELESS PROGRAMS
By the power vested in me as Governor by the Constitution and laws of the State of North Carolina, IT IS ORDERED
THAT:
Section 3 of Executive Order No. 56 issued by Michael F. Easley on January 20, 2004, is hereby amended as follows:
Section 3. Chair and Terms of Membership
Each appointment shall be for a term of three years. (All other language within this section is deleted.)
This order is effective immediately.
IN WITNESS WHEREOF, I have hereunto signed my name and affixed the Great Seal of the State of North Carolina at the
Capitol in the City of Raleigh, this thirteenth day of July in the year of our Lord two thousand and six, and of the Independence of the
United States of America the two hundred and thirtieth.
__________________________________________
Michael F. Easley
Governor
ATTEST:
__________________________________________
Elaine F. Marshall
Secretary of State
IN ADDITION
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
345
Note from the Codifier: This Section contains public notices that are required to be published in the Register or have been
approved by the Codifier of Rules for publication.
SUMMARY OF NOTICE OF
INTENT TO REDEVELOP A BROWNFIELDS PROPERTY
Southern Bank and Trust Company
Pursuant to N.C.G.S. § 130A-310.34, Southern Bank and Trust Company has filed with the North Carolina Department of
Environment and Natural Resources ("DENR") a Notice of Intent to Redevelop a Brownfields Property ("Property") in Edenton,
Chowan County, North Carolina. The Property, which is known as the former Chowan Veneer Company site, consists of
approximately 12.4 acres and is located at 259 and 262 Coke Avenue. Environmental contamination exists on the Property in
groundwater. Southern Bank and Trust Company has committed itself to allow no use of the Property other than for residential,
commercial office or commercial retail purposes. The Notice of Intent to Redevelop a Brownfields Property includes: (1) a proposed
Brownfields Agreement between DENR and Southern Bank and Trust Company, which in turn includes (a) a map showing the
location of the Property, (b) a description of the contaminants involved and their concentrations in the media of the Property, (c) the
above-stated description of the intended future use of the Property, and (d) proposed investigation and remediation; and (2) a proposed
Notice of Brownfields Property prepared in accordance with G.S. 130A-310.35.
The full Notice of Intent to Redevelop a Brownfields Property may be reviewed at Shepard Pruden Memorial Library, 106
West Water Street, Edenton, North Carolina, 27932 by contacting Rosa Lee Miller at (252)-482-4112 or at Shepard-pruden@
pettigrewlibraries.org; or at the offices of the N.C. Brownfields Program, 401 Oberlin Rd., Suite 150, Raleigh, NC 27605
(where DENR will provide auxiliary aids and services for persons with disabilities who wish to review the documents) by contacting
Shirley Liggins at that address, at (919) 508-8411 or at shirley.liggin@ncmail.net.
Written public comments may be submitted to DENR within 60 days after the date this Notice is published in a newspaper of
general circulation serving the area in which the Brownfields property is located, or in the North Carolina Register, whichever is later.
Written requests for a public meeting may be submitted to DENR within 30 days after the period for written public comments begins.
Thus, if Southern Bank and Trust Company, as it plans, publishes this Summary in the North Carolina Register after it publishes the
Summary in a newspaper of general circulation serving the area in which the brownfields property is located, and if it effects
publication of this Summary in the North Carolina Register on the date it expects to do so, the periods for submitting written requests
for a public meeting regarding this project and for submitting written public comments will commence on August 16, 2006. All such
comments and requests should be addressed as follows:
Mr. Bruce Nicholson
Brownfields Program Manager
Division of Waste Management
NC Department of Environment and Natural Resources
401 Oberlin Road, Suite 150
Raleigh, North Carolina 27605
IN ADDITION
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
346
NOTICE OF RULE MAKING PROCEEDINGS AND PUBLIC HEARING
NORTH CAROLINA BUILDING CODE COUNCIL
Notice of Rule-making Proceedings is hereby given by NC Building Code Council in accordance with G.S. 150B-21.5(d).
Citation to Existing Rule Affected by this Rule-Making: NC Administrative and Building Codes.
Authority for Rule-making: G.S. 143-136; 143-138.
Reason for Proposed Action: To incorporate changes in the NC Building Codes as a result of rulemaking petitions filed with the NC
Building Code Council and to incorporate changes proposed by the Council.
Public Hearing: September 11, 2006, 1:00PM, Asheville Public Works Building, 161 South Charlotte Street, Asheville, NC 28801.
Comment Procedures: Written comments may be sent to Barry Gupton, Secretary, NC Building Code Council, c/o NC Department
of Insurance, 322 Chapanoke Road, Suite 200, Raleigh, NC 27603. Comment period expires on October 16, 2006.
Statement of Subject Matter:
1. Request by the Special Inspections Ad Hoc Committee to amend the 2006 NC Administrative Code requirements for special
inspections.
107.5 Special Inspections. Special inspections required by the building code or the building inspector shall be performed by a NC
registered design professional or a qualified inspector under their responsible charge.
2. Request by the Special Inspections Ad Hoc Committee to amend the 2006 NC Building Code requirements for special inspections.
1704 Special Inspections
1704.1 General. Where application is made for construction as described in this section, the building official, at the official’s
discretion, may require the owner to employ one or more special inspectors to provide inspections during construction on the types of
work listed under Section 1704 per 1704.1.2. The special inspector shall demonstrate competence, to the satisfaction of the building
official, for inspection of the particular type of construction or operation requiring special inspection. These inspections are in
addition to the inspections specified in the North Carolina Administrative Code and Policies.
Exceptions:
1. Special inspections are not required for work of a minor nature or as warranted by conditions in the jurisdiction as approved by the
building official.
2. Special inspections are not required for building components unless the design involves the practice of professional engineering or
architecture as defined by applicable state statutes and regulations governing the professional registration and certification of
engineers or architects.
3. Unless otherwise required by the building official, special inspections are not required for occupancies in Group R-3 as application
in 101.2 and occupancies in Group U that are accessory to a residential occupancy including, but not limited, those listed in 312.1
1704.1.1 Building permit requirement. The permit applicant shall submit a statement of special inspections prepared by the
registered design professional in responsible charge in accordance with Section 106.1 as a condition for permit issuance. This
statement shall include a complete list of materials and work requiring special inspections by this section, the inspections to be
performed and a list of the individuals, approved agencies or firms intended to be retained for conducting such inspections.
1704.1.2 Special Inspections requirement.
Special inspections per Section 1704 are required for building, building components or other structures per the following:
1. Buildings or other structures listed in Table 1604.5 in category II if:
a. Building height exceeds 45 feet or three stories, or
b. The building is an Underground buildings per 405.1;
2. Buildings or other structures listed in table 1604.5 in categories III or IV;
3. Piles, piers and special foundations;
4. Retaining walls exceeding 5 feet height per 1610.3;
5. Smoke control and smoke exhaust systems;
IN ADDITION
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
347
6. Sprayed fire-resistant materials; or
7. Special case described in 1704.13.
1704.1.3 Report requirement. Special inspectors shall keep records of inspections. The special inspector shall furnish inspection
reports to the building official, and to the registered design professional in responsible charge. Reports shall indicate that work
inspected was done in conformance to approved construction documents. Discrepancies shall be brought to the immediate attention of
the contractor for correction. If the discrepancies are not corrected, the discrepancies shall be brought to the attention of the building
official and to the registered design professional in responsible charge prior to the completion of that phase of the work. A final report
of inspections documenting required special inspections and correction of any discrepancies noted in the inspection shall be submitted
periodically at a frequency agreed upon by the permit applicant and the building official prior to the start of work.
Butch Simmons requested that these two parts go through the rule making process. Al Bass made a motion to accept the two items.
The motion was seconded. Mr. Bass requested that this wording be included in the printing of the code books if the requirements go
thought the rule making process. The motion carried without dissent.
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
348
Note from the Codifier: The notices published in this Section of the NC Register include the text of proposed rules. The agency
must accept comments on the proposed rule(s) for at least 60 days from the publication date, or until the public hearing, or a
later date if specified in the notice by the agency. If the agency adopts a rule that differs substantially from a prior published
notice, the agency must publish the text of the proposed different rule and accept comment on the proposed different rule for 60
days.
Statutory reference: G.S. 150B-21.2.
TITLE 01 – DEPARTMENT OF ADMINISTRATION
Notice is hereby given in accordance with G.S. 150B-21.2 that
the Department of Environment and Natural Resources intends
to repeal the rules cited as 01 NCAC 12 .0601 - .0605, .0701 -
.0704, .1001 - .1008.
Proposed Effective Date: December 1, 2006
Instructions on How to Demand a Public Hearing: (must be
requested in writing within 15 days of notice): Contact David
Griffin, Division Director, by mail NC Aquariums, 417 N. Blount
Street, Raleigh, NC 27601, or by email at
david.griffin@ncmail.net.
Reason for Proposed Action:
01 NCAC 12 .0601- is mostly incorrect and otherwise not
needed.
01 NCAC 12 .0602 – is not needed.
01 NCAC 12 .0603 - .0604 – is incorrect.
01 NCAC 12 .0605 - is incorrect and does not comply with G.S.
150B.
01 NCAC 12 .0701 - .0704 – is no longer needed because the
General Assembly repealed G.S. 143B-390.2(b).
01 NCAC 12 .1001 – .1008 – is not needed because the
Aquariums no longer provide research space to other agencies.
Procedure by which a person can object to the agency on a
proposed rule: Contact David Griffin, Division Director, by
mail, NC Aquariums, 417 North Blount Street, Raleigh, NC
27601, or by email at david.griffin@ncmail.net.
Comments may be submitted to: David Griffin, 417 N. Blount
Street, Raleigh, NC 27601, email david.griffin@ncmail.net
Comment period ends: October 16, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
SECTION .0600 - GENERAL PROVISIONS
01 NCAC 12 .0601 DEFINITIONS
As used in Chapter 12 of Title 1:
(1) "Aquarium" means the North Carolina
Aquarium at Fort Fisher, at Pine Knoll Shores,
or on Roanoke Island;
(2) "Charitable" means for a benevolent purpose;
(3) "Civic" means favoring the improvement of
the environment, health, education, safety,
general welfare, culture or recreation of the
local community through non-political
activities;
(4) "Council" means the North Carolina Marine
Science Council;
(5) "Department" means the Department of
Administration;
(6) "Director" means a director of one of the three
Aquariums or his or her designee;
(7) "Facility" means the Aquarium building and
associated buildings and grounds;
(8) "Permissible user or activity" means a user or
activity that is compatible with the intent and
conditions of the N.C. Aquariums'
Facility-Use Policy;
(9) "Person" means any natural person,
corporation, partnership, association, or
governmental unit;
(10) "Secretary" means the Secretary of
Administration;
(11) "User" means any natural person, corporation,
partnership, association or governmental unit.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0602 NAME CHANGE
Henceforth, the N.C. Marine Resources Center/Fort Fisher shall
be known as the North Carolina Aquarium at Fort Fisher, the
N.C. Marine Resources Center/Bogue Banks shall be known as
the North Carolina Aquarium at Pine Knoll Shores, and the N.C.
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
349
Marine Resources Center/Roanoke Island shall be known as the
North Carolina Aquarium on Roanoke Island.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0603 FORMS
The forms listed in this Rule affect the public and are available
at:
N.C. Aquarium on Roanoke Island N.C. Aquarium at
Pine Knoll Shores
P.O. Box 967 P.O. Box 580
Manteo, N.C. 27954 Atlantic Beach,
N.C. 28512
(919) 473-3493 (919) 247-4003
N.C. Aquarium at Fort Fisher Office of Marine
Affairs
Box 130 N.C. Dept. of
Administration
Kure Beach, N.C. 28449 417 North Blount
Street
(919) 458-8257 Raleigh, N.C.
27601
(919) 733-2290
(1) Aquarium Facility-Use Policy;
(2) Application for Use of Facility;
(3) Contract for Off-Hours Use of Facility;
(4) Application for Research Space;
(5) Contract for Use of Research Space;
(6) Cost Schedule for Use of Space;
(7) Seasonal Aquarium Calendar of Events and
Program Participation Procedures; and
(8) Marine Science Council Operating Procedures.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0604 APPEALS
Any person affected by a decision made pursuant to this chapter
who wishes to appeal the decision shall direct the appeal in
writing to the Secretary of Administration, 116 West Jones
Street, Raleigh, N.C. 27611. Appeals of decisions of the
Secretary made pursuant to this chapter shall be governed by
Chapter 150B (Administrative Procedure Act) of the North
Carolina General Statutes.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0605 ORGANIZATION: POWERS
AND DUTIES
The Office of Marine Affairs is organized to promote and
advocate for public awareness, appreciation, study and wise
utilization of the cultural and natural resources of coastal North
Carolina. The office recommends state ocean policies,
advocates for marine research, promotes wise stewardship and
provides information and educational opportunities for the
public. The office administers the three North Carolina
Aquariums and the Outer Continental Shelf Resources Recovery
Program and staffs the Marine Science Council. Information
may be obtained from the office which is located at 417 North
Blount Street, Raleigh 27601.
Authority G.S. 143B-390.2(b).
SECTION .0700 - MARINE SCIENCE COUNCIL
01 NCAC 12 .0701 STAFF
The Council is staffed by the Office of Marine Affairs, 417
North Blount Street, Raleigh, N.C. 27601.
Authority G.S. 143B-390.2(b);
01 NCAC 12 .0702 BYLAWS
The Council's operating procedures are governed by its bylaws
which are available from the Office of Marine Affairs or the
Aquariums.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0703 AGENDA
Any person desiring to have topics included on the agenda for
discussion at a regular Council meeting shall notify the staff at
least 20 days prior to the meeting date. Final approval for
proposed agenda items rests with the Council executive
committee.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0704 MINUTES
Minutes of Council meetings are available for inspection at the
Office of Marine Affairs, 417 North Blount Street, Raleigh N.C.
27601.
Authority G.S. 143B-390.2(b).
SECTION .1000 - PROCEDURES FOR USE OF
RESEARCH SPACE
01 NCAC 12 .1001 WHEN USE IS LESS THAN 60
DAYS
Research applicants may apply directly to and receive approval
from the director of the preferred facility if the period of
continuous use is for 60 days or less.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1002 WHEN USE EXCEEDS 60 DAYS
Potential researchers wishing to schedule space for a period
greater than 60 days shall obtain a copy of the Facility-Use
Policy and file a completed application with the Office of
Marine Affairs, 417 North Blount Street, Raleigh, N.C. 27601,
no more than 12 months prior to the date the space will be
needed but no less than 60 days prior to the next regularly
scheduled Council meeting. Applications and copies of the
Facility-Use Policy are available at the Office of Marine Affairs
and at each of the three Aquariums.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1003 APPLICATIONS FORWARDED
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
350
BY OFFICE OF MARINE AFFAIRS
Upon receipt of a completed application, the Office of Marine
Affairs shall forward a copy to the appropriate director for
confirmation of space availability and comments by the
Aquarium staff.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1004 REVIEW OF APPLICATIONS
The director shall send his or her comments and
recommendation for approval or disapproval to the Office of
Marine Affairs for distribution along with the application to the
Marine Science Council or a Council subcommittee for review.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1005 NOTIFICATION TO
APPLICANT
If denied, the director shall notify the applicant of the decision.
Upon request, the director will provide the applicant with the
reasons for denial of his or her application. If approved, the
director shall allocate the space and notify the applicant. The
letter of notification shall contain a statement warning that
failure to appear to utilize the space within one week following
the date for which it was requested may result in the approval
being withdrawn. The letter shall also include the exact dates of
the time during which the applicant will be allowed to occupy
the space, any special conditions that might apply, and any fees
that will be assessed. The letter shall also indicate that the
applicant will be required to sign a contract before occupying the
space.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1006 ANNUAL RENEWAL
Approved researchers shall apply for renewal of the space on an
annual basis at least 60 days before the end of the current period
of use. Applications for renewal may be made by letter to the
appropriate director who shall follow the steps outlined in Rules
.1004 through .1005 of this Subchapter. The Council or
subcommittee shall act on the request for renewal of space at the
next regularly-scheduled meeting of the Council.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1007 CRITERIA FOR SELECTING
APPLICANTS
The following criteria shall apply in evaluating requests for use
of research space:
(1) The research should address problems
affecting the use of coastal or marine
resources.
(2) The research must be compatible with the
facilities of the Aquariums.
(3) Applications indicating any of the following
will receive high priority:
(a) research offering potential of
immediate application;
(b) research which promotes public
information, extension education
programs, and advisory services of
the Aquariums;
(c) research requiring the unique features
of the Aquariums (e.g. coastal
location, multi-disciplinary setting,
accessibility to visiting tourists and
students, etc.);
(d) research which contributes to
fulfilling state goals and policies in
marine affairs.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1008 APPROVAL OR DENIAL
At the next regularly-scheduled meeting of the council, action
shall be taken regarding approval or denial of the application and
any applicable use restrictions. The Office of Marine Affairs
shall forward the results of the actions taken to the appropriate
director. If denied, the council or subcommittee will specify in
writing the reasons for its decision.
Authority G.S. 143B-390.2(b).
TITLE 02 – DEPARTMENT OF AGRICULTURE AND
CONSUMER SERVICES
Notice is hereby given in accordance with G.S. 150B-21.2 that
the North Carolina Board of Agriculture intends to amend the
rule cited as 02 NCAC 48B .0121.
Proposed Effective Date: December 1, 2006
Instructions on How to Demand a Public Hearing: (must be
requested in writing within 15 days of notice): Any person may
request a public hearing on the proposed rule by submitting a
request in writing no later than August 30, 2006, to David S.
McLeod, Secretary, NC Board of Agriculture, 1001 Mail Service
Center, Raleigh, NC 27699-1001.
Reason for Proposed Action: The proposed amendment would
add nickel to the list of secondary plant nutrients that are
allowed to be claimed in the application for registration of
fertilizer products and establish minimum guarantees for
secondary plant nutrients. There is increased demand for
fertilizer products containing nickel. Adding nickel to this list
will allow the sale of these products while requiring the
manufacturer to guarantee the amount claimed. Establishing
minimum guarantees will ensure that there is sufficient amount
of secondary nutrient present to be beneficial to plant growth.
Procedure by which a person can object to the agency on a
proposed rule: Any person may object to the proposed rule by
submitting a written statement of objection(s) to David S.
McLeod, Secretary, NC Board of Agriculture, 1001 Mail Service
Center, Raleigh, NC 27699-1001.
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
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Comments may be submitted to: David S. McLeod, 1001 Mail
Service Center, Raleigh, NC 27699-1001, phone (919) 733-7125
extension 249, fax (919) 716-0105, email
david.mcleod@ncmail.net
Comment period ends: October 16, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
CHAPTER 48 - PLANT INDUSTRY
SUBCHAPTER 48B - FERTILIZER
SECTION .0100 - FERTILIZER STANDARDS
02 NCAC 48B .0121 APPLICATION FOR
REGISTRATION OF FERTILIZERS
(a) Each application for registration of any fertilizer shall include the:
(1) net weight;
(2) brand;
(3) grade;
(4) name and address of the person guaranteeing registration; and
(5) sources from which nitrogen, phosphate, and potash are derived in mixed fertilizers.
(b) Each application for registration of any fertilizer in addition to the general information contained in Paragraph (a) of this Rule,
shall include a guaranteed analysis showing the percentages of plant food in the following order and form:
(1) tobacco fertilizers:
(A) total nitrogen (N) X Percent;
[breakdown of nitrogen (N) is optional]
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent;
(D) chlorine (maximum) X Percent;
(2) fertilizer materials:
(A) total nitrogen (N) X Percent;
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent;
(3) specialty fertilizers, manures and fortified mulch:
(A) total nitrogen (N) X Percent;
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent;
(4) organic fertilizers:
(A) total nitrogen (N) (see 2 02 NCAC 48B .0122) X Percent;
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent.
(c) Immediately following the guarantees for primary plant nutrients, the following secondary plant nutrients, if used, shall be listed
on the application and guaranteed by percentage of each in elemental form: form, with the following minimum guarantees:
Element Minimum Concentration, %
(1) calcium (Ca); (Ca) 1.0000
(2) magnesium (Mg) (see 2 02 NCAC 48B .0132); .0132) 0.5000
(3) sulfur (S); (S) 1.0000
(4) boron (B); (B) 0.0200
(5) chlorine (Cl); (Cl) 0.1000
(6) cobalt (Co); (Co) 0.0005
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
352
(7) copper (Cu); (Cu) 0.0500
(8) iron (Fe); (Fe) 0.1000
(9) manganese (Mn) (see 2 02 NCAC 48B .0132); .0132) 0.0500
(10) molybdenum (Mo); (Mo) 0.0005
(11) nickel (Ni) 0.0010
(11)(12) sodium (Na); and (Na) 0.1000
(12)(13) zinc (Zn). (Zn) 0.0500
Sources of these elements and proof of availability shall be provided to the Commissioner upon request.
(d) A person shall not make any guarantee or claim for a secondary or minor plant nutrient not listed in Paragraph (c) of this Rule.
(e) A person shall express potential acidity or basicity as equivalent pounds per ton of calcium carbonate, if acid forming or nonacid
forming potential is guaranteed.
(f) Where no determination of available phosphate for organic phosphates is made, total phosphate shall be guaranteed, except as
provided in Paragraph (g) of this Rule.
(g) Where unacidulated mineral phosphates or basic slag is used, both total and available phosphate, as well as degree of fineness,
shall be guaranteed.
Authority G.S. 106-660(a); 106-673.
TITLE 04 – DEPARTMENT OF COMMERCE
Notice is hereby given in accordance with G.S. 150B-21.2 that
the Credit Union Division of the North Carolina Department of
Commerce intends to adopt the rule cited as 04 NCAC 06C
.1205 and amend the rule cited as 04 NCAC 06C .1202.
Proposed Effective Date: December 1, 2006
Instructions on How to Demand a Public Hearing: (must be
requested in writing within 15 days of notice): Written request
for hearing to Antonio Knox, NCCUD Rule-making
Coordinator, 4314 Mail Service Center, Raleigh, NC 27699-
4314
Reason for Proposed Action: To afford North Carolina state-chartered
credit unions the authority to engage in activities in
which they could engage, and to the same extent to which they
could engage, as those afforded to federally chartered credit
unions under 12 USC 1757(11), 12 CFR 710.39(d)(1), and 12
CFR 701.19, per the authority provided by NCGS 54-
109.21(25).
Procedure by which a person can object to the agency on a
proposed rule: Submission of written objections and/or a
request for hearing to Antonio Knox, NCCUD Rule-making
Coordinator, 4314 Mail Service Center, Raleigh, NC 27699-
4314.
Comments may be submitted to: Antonio Knox, NC Credit
Union Division, 4314 Mail Service Center, Raleigh, NC 27699-
4314
Comment period ends: October 16, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
CHAPTER 06 - CREDIT UNION DIVISION
SUBCHAPTER 06C - CREDIT UNIONS
SECTION .1200 - INVESTMENTS
04 NCAC 06C .1202 PERMISSIBLE TRANSACTIONS
Credit unions may:
(1) purchase or sell securities in accordance with
the North Carolina Credit Union Law and
when the purchase or sale is to be completed
within five business days after the agreement
is made;
(2) buy or sell a future contract only if it is used as
a hedging contract incidental to the assembly
of a pool of loans for sale in the secondary
market;
(3) enter into reverse repurchase agreements to
meet ordinary and unexpected liquidity needs
such as temporary share withdrawal or loan
demands, but such agreements represent
borrowing and are limited to the borrowing
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
353
limitations as specified in Regulation .0308 of
this Subchapter;
(4) enter into loan-type repurchase agreements
only with their own members, other credit
unions, or eligible credit union organizations;
(5) enter into investment-type repurchase
agreements if the following essential elements
of a sale of security are included:
(a) The Credit Union takes possession of
the securities or receives a custodial
or safekeeping receipt from a bank or
other financial institution evidencing
that the securities have been
segregated from the general assets of
the vendor.
(b) The Credit Union is not required to
deliver the identical securities in the
event of repurchase.
(c) The Credit Union assumes the risks
of market fluctuation in the value of
the securities at purchase.
(d) The Credit Union receives the
coupons or stated interest rate
dividend on the securities purchased
for the time period owned.
(6) deliver written application to the
Administrator to make investments and
purchase insurance, mutual funds and fixed or
variable annuity products so long as the
investment or product is for the sole purpose
of funding employee benefit, retirement or
deferred compensation plans for employees of
the credit union and the investment or
purchase is to be made in light of applicable
safety and soundness considerations of the
credit union. The Administrator will promptly
grant or deny said application, with or without
conditions or provisions, and in any case
within 60 calendar days following the receipt
of the application by the Administrator.
Authority G.S. 54-109.12; 54-109.82; 54-109.92(a).
04 NCAC 06C .1205 AUTOMATIC LIENS UPON ALL
SHARE TO SECURE ALL DEBTS
In addition to the lien on shares, deposits and accumulated
dividends of members as granted by G.S. 54-109.59, a credit
union shall also have an automatic lien upon all such shares,
deposits and accumulated dividends to secure the full amount of
all debts owed to the credit union by its member. This lien is to
be equivalent to that lien upon members' shares granted to all
federally chartered credit unions by the National Credit Union
Act and its regulations.
Authority G.S. 54-109.21(25).
TITLE 10A – DEPARTMENT OF HEALTH AND HUMAN
SERVICES
Notice is hereby given in accordance with G.S. 150B-21.2 that
the Social Services Commission intends to amend the rules cited
as 10A NCAC 06P .0201, .0401, 06R .0101 - .0102, .0201,
.0301, .0303, .0305 - .0306, .0402 - .0403, .0501 - .0508, .0601,
.0701 - .0703, 06S .0102, .0203 - .0204, .0301, .0402 - .0405.
Proposed Effective Date: July 1, 2007
Public Hearing:
Date: October 18, 2006
Time: 10:00 a.m.
Location: Room 832, Albemarle Building, 325 N. Salisbury
Street, Raleigh, NC
Reason for Proposed Action: The majority of rules were
originally effective in 1978-1979. There have been minor
modifications to the rules, but the original language has
remained the same. Interpretation & enforcement of many of
these rules varies from county to county because, in many cases,
the wording is vague and unclear. A committee comprised of
adult day services program staff & State & county staff, met for
over 3 years reviewing the rules to eliminate the vague language
so that interpretation by those operating adult day programs &
those regulating those programs is more consistent across the
State. Additionally, updates in areas such as building & fire
codes have been integrated & changes have been made to be
consistent to other rules under the authority of the Secretary of
the Department of Health and Human Services; therefore,
bringing more consistency to the rules by eliminating conflicting
language.
Procedure by which a person can object to the agency on a
proposed rule: Susan Dail, NC Division of Social Services, 325
N. Salisbury Street, 2401 Mail Service Center, Raleigh, NC
27699-2401, 919-733-3055, susan.dail@ncmail.net
Comments may be submitted to: Susan Dail, 2401 Mail
Service Center, Raleigh, NC 27699-2401, phone (919) 733-
3055, fax (919) 733-9386, email susan.dail@ncmail.net
Comment period ends: October 18, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
354
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
CHAPTER 06 – AGING: PROGRAM OPERATIONS
SUBCHAPTER 06P – ADMINISTRATION OF ADULT
DAY CARE SERVICES
SECTION .0200 - CLIENT ELIGIBILITY: FEES AND
CHARGES
10A NCAC 06P .0201 LIMITATIONS
Limitations on the provision of day care services for adults
receiving state or federal funds include the following:
(1) Day care services for adults may shall be
provided on a time-limited basis to individuals
enrolled in adult day care who are no longer
able to maintain themselves in an independent
living situation and for whom placement in
group care is necessary. Under these
circumstances, adult day care services may
continue to be provided for a maximum of 90
days after entering the group care facility.
State and federal funds may not be used to
support the provision of adult day care for
individuals in group care beyond this 90 day
period. period, except in the circumstances of
Item (2) of this Rule.
(2) Day care services for adults may shall be
provided on a time-limited basis for
individuals preparing to leave a group care
facility for an independent living arrangement.
Under these circumstances, adult day care
services may be provided for a period of up to
90 days prior to the individual's discharge
from the group care facility. Continued
eligibility for adult day care after discharge
from the group care facility shall be
determined on the basis of basic eligibility
criteria and need for the service as stated in
10A NCAC 71Q 71R .0501 or 10A NCAC
05A .0101(6) and (12). State and federal
funds shall not be used to support the
provision of adult day care for individuals in
group care prior to this 90-day period, except
in the circumstances of Item (1) of this Rule.
(3) If a day care program's written admission
criteria limit the number of persons with
certain conditions which can be served at any
one time and an eligible client with such a
condition cannot be accepted because the
program has its maximum number of persons
with that condition, the client must be
considered for enrollment at the first opening
for persons with that condition.
(4) Day care programs which receive federal or
state funds administered by the Division of
Social Services and which serve persons
whose care is paid through some source other
than federal or state funds must charge at least
as much for those persons as for persons
whose care is paid through funds administered
by the division.
(4) Adult day care participants shall be:
(a) adults who do not need nursing
supervision but who require
complete, full-time daytime
supervision in order to live in their
own home or the home of a relative;
or
(b) adults who need help with activities
of daily living in order to maintain
themselves in their own home; or
(c) adults who need intervention in the
form of enrichment and opportunities
for social activities in order to prevent
deterioration that would lead to
placement in group care; or
(d) adults enrolled in an adult day care
program who need time-limited
support in making the transition from
independent living to group care, or
adults who need time-limited support
in making the transition from group
care to independent living.
Authority G.S. 143B-153.
SECTION .0400 - ROLE RESPONSIBILITIES IN
PROGRAM CERTIFICATIONS
10A NCAC 06P .0401 STATE DIVISION OF AGING
AND ADULT SERVICES RESPONSIBILITIES
The Division of Aging and Adult Serviceshas the following
responsibilities in certification of adult day care programs: is
responsible for:
(1) Consultation. The adult day care consultant in
the Division of Aging and Adult Services shall
be available to work with county departments
of social services and day care providers
regarding the development of adult day care
services, interpretation of the North Carolina
Adult Day Care and Day Health Services
Standards for Certificationstandards and
related issues; The regional service
representatives shall be available to county
departments of social services for consultation
regarding the development of adult day care
services as part of a county social services
system;
(2) Certification. The Division of Aging and
Adult Services shall be responsible for all
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
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actions regarding initial certification and
annual recertification of adult day care
programs based on the report and
recommendations of the county department of
social services and the adult day care
consultant in the central office.office; and
(3) Monitoring. The Division of Aging and Adult
Services shall establish criteria for the local
department of social services adult day care
consultant to make announced and
unannounced monitoring visits to certified
adult day programs. An administrative letter
identifying the criteria shall be signed by the
Division Director and sent to all county
departments of social services directors and
adult day care providers.
Authority G.S. 143B-153.
SUBCHAPTER 06R - ADULT DAY CARE STANDARDS
FOR CERTIFICATION
SECTION .0100 - INTRODUCTION
10A NCAC 06R .0101 CERTIFICATION
REQUIREMENT
(a) Subchapter 06r 06R contains standards which have been
developed for certification of adult day care programs. The
standards relate to all aspects of operation of an adult day care
program including administration, facility, and program
operation. Adult day care programs, as defined in G.S. 131D-6,
must shall be certified as meeting these standards. Programs
exempted from certification requirements by G.S. 131D-6 must
shall meet these standards for certification only if receiving
funds administered by the Division of Aging and Adult Services
for social services programs established by federal legislation.
Certification is the responsibility of the county department of
social services and the Department of Health and Human
Services.
(b) Any program making application for certification or making
timely and sufficient application for renewal of certification
must shall be in compliance with all standards for certification.
If all standards are not being met, certification will shall be
denied or limited as appropriate. Certification of any program in
willful violation of standards as defined in Rule .0102(b)
.0102(e) of this Subchapter will shall be revoked. Procedures in
G.S. 150B-3 will shall be followed.
(c) Any program which was in operation, not currently certified,
and serving individuals prior to January 1, 1986, will have a
period of no more than 90 days to make application for
certification. During this time period the program may continue
to operate unless continued operation will endanger the health,
safety or welfare of the participants. During this time period
consultation and technical assistance will be provided by the
county department of social services to aid the program to
achieve full compliance with the rules in this Subchapter.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0102 CORRECTIVE ACTION
(a) Adult day care programs shall be inspected annually and
monitored at least monthlyin accordance with the Division of
Aging and Adult Services criteria for making announced and
unannounced visits to assure compliance with the standards.
Where a violation of G.S. 131D-6 or of this Subchapter is
identified by staff of the county department of social services or
the Division of Aging, Aging and Adult Services,or other
authorized inspectors such as sanitarians, environmental health
specialists, building and fire safety inspectors, the program
director of the adult day care program must shall be notified in
writing of the nature of the violation by that inspector and
requested to take corrective action by the county department of
social services. The county department of social services will
shall determine, in consultation with the program director, the
date by which corrective action must shall be completed based
upon the severity of the violation and the effect of the violation
on the participants of the program.
(1)(b) Where a violation presents a clear and an immediate
danger to the participants' health or safety, the program director
is required to shall take immediate corrective action, after
written notification, action to correct the source of danger or to
remove the participants from the source of danger. Such action
shall be documented in writing within 72 hours.The specific
time for completion of corrective action will be included in the
written notice.
(2)(c) Where a violation has the potential to endanger the
participants' health, safety, or welfare, the program director is
required to shall take corrective action. The date specified for
the completion of the corrective action must shall be no later
than 30 days after the of written notification.
(3)(d) Where a violation does not directly endanger the
participants, such as a violation of administrative or record
keeping standards, the program director is required to shall take
corrective action. The date specified for the completion of the
corrective action must shall be no later than within 90 days after
the of written notification.
(b)(e) If the violation continues beyond the established time for
completion of corrective action, the program will shall be
considered to be in willful violation of the standards and
negative action will shall be taken in accordance with Rules
.0802, .0804, and .0805 of this Subchapter.
Authority G.S. 131D-6; 143B-153.
SECTION .0200 - DEFINITION OF TERMS
10A NCAC 06R .0201 DEFINITIONS
As used in this Subchapter, unless the context requires
otherwise, the following definitions shall apply:
(1) "Activities of Daily Living (ADL)" means
eating; dressing; bathing; toileting; bowel and
bladder control; transfers; and ambulation.
(a)(2) "Adaptable space" Space" means space in a
facility that can be used for several purposes
with little effort and without sacrificing safety
and health standards; for example, an activities
room that is used for crafts in the morning,
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
356
used to serve lunch and used for exercise
activities in the afternoon.
(3) "Adaptable activity" means an activity where
participation can be varied from individual,
small group, or large group, and can occur
seated, standing or lying down.
(b)(4) "Adult" is means an individual 18 years of age
or older.
(5) "Adult Day Care Center" means a day care
program operated in a structure other than a
single family dwelling.
(6) "Adult Day Care Home" means a day care
program for up to 16 people operated in a
single family dwelling where the owner
resides.
(7) "Adult Day Care Program" means the
provision of group care and supervision in a
place other than their usual place of abode on a
less than 24-hour basis to adults who may be
physically or mentally disabled. This term is
used to refer to adult day care programs, adult
day health programs, and adult day care and
combined adult day health programs (i.e.,
combination programs).
(c)(8) "Alzheimer's Disease" is means a progressive,
degenerative disease that attacks of the brain
resulting and results in impaired memory,
thinking and behavior. Characteristic
symptoms of the disease include gradual
memory loss, impaired judgement,
disorientation, personality change, difficulty in
learning and loss of language skills.
(d)(9) "Ambulatory" refers to means a person who is
fully mobile and does not need the continuing
help of a person or object for support (except a
walking cane).
(e)(10) "Capacity" is means the number of participants
for which a day care program is certified.
(f)(11) "Caretaker" (or "Caregiver") is means an adult
who regularly provides an impaired adult with
continuous supervision, assistance with
preparation of meals, assistance with
housework and assistance with personal
grooming.
(g)(l2) "Certification" is means the process whereby
an adult day care program is approved as
meeting adult day care standards. the North
Carolina Adult Day Care Rules in 10A NCAC
06.
(h)(13) "Certifying agency" is means the Department
of Health and Human Services, Division of
Aging.Aging and Adult Services.
(i) "Day Care Center" means a day care program
operated in a structure other than a single
family dwelling.
(j) "Day Care Home" means a day care program for
two to six people operated in a single family
dwelling.
(14) "Dementia" means the loss of intellectual
functions (such as thinking, remembering, and
reasoning) of sufficient severity to interfere
with a person's daily functioning. Dementia is
not a disease itself but rather a group of
symptoms that may accompany certain
diseases or conditions. Symptoms may also
include changes in personality, mood and
behavior.
(k)(15) "Group Process"process" means at least three
persons engaged in a common activity that can
bring pleasure, satisfaction and improvement
to all members.activity.
(l)(16) "Institution" is means a facility that is
established to serve a particular purpose and is
required by state law to be provided and
maintained by the state and any facility
defined in federal regulations as an institution.
In North Carolina, the list of institutions
includes but is not necessarily limited to:
includes: general hospitals, state psychiatric
hospitals, state centers for the retarded,
mentally ill, skilled nursing facilities, and
intermediate care facilities.
(17) "Instrumental Activities of Daily Living
(IADL)" means meal preparation, medication
intake, housekeeping, money management,
phone use, laundering, reading, shopping,
communication such as speaking, writing,
signing, gestures, using communication
devices and going to necessary activities.
(18) "Medication schedule" means a listing of all
medications taken by participants with
dosages, route of administration, and times
medications are to be taken.
(m)(19) "Mental health disability" is a severe, lifelong,
chronic condition that is due to a mental or
physical impairment or a combination of
mental and physical impairments. means
disorders with psychological or behavioral
symptoms or impairment in functioning due to
a social, psychological, genetic, physical,
chemical or biological disturbance.
(20) "Modifiable activity" means an activity that
can be simplified and adapted as a participant's
abilities decline or improve.
(21) "Nucleus area" means adult day care programs
located in a multi-use building and refers to
the area not shared by any other programs
located in the building but used only by the
adult day care program.
(n)(22) "Non-ambulatory" refers to means a person
who is bedfast.
(o)(23) "Nursing Care" is care" means skilled nursing
care or intermediate care.
(24) "On-site" means the area certified for the day
care program.
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357
(p)(25) "Operator" is "Owner" means the person
responsible for management of a day care
home. home or day health home.
(q)(26) "Other special needs disease or condition"
refers to means a diagnosis, disease or
disability, such as AIDS/HIV, that benefits
from monitoring or oversight in a supervised
setting.
(x)(27) "Participant" is means a person enrolled in an
adult day care program.
(28) "Personal care" means tasks that range from
assistance with basic personal hygiene and
grooming, feeding, and ambulation, to medical
monitoring and other health care related tasks.
(r)(29) A "Physical Therapy Program" is "Physical
therapy program" means a series of activities
prescribed by a licensed physical therapist or
activities administered under the supervision
of a physical therapist.
(s)(30) "Program director" means Director" is the
person responsible for program planning,
development and implementation in a day care
center. program.
(31) "Progress notes" means written reports in the
participant's file of staff discussions,
conferences, or consultation with family or
other interested parties, for the purpose of
evaluation of a participant's progress and any
other information regarding the participant's
situation.
(t)(32) "Related disorders" means dementing
dementia or impaired memory impairing
conditions characterized by irreversible
memory dysfunction.
(33) "Respite care," as a component of adult day
care programs, means a service provided to
give temporary relief to the family or
caregiver. Primarily, respite is provided to
families caring for children or adults with
disabilities or families caring for frail or
disabled older adults.
(34) "Responsible party" means the caretaker with
primary day-to-day responsibility for an
impaired adult.
(u)(35) "Semi-ambulatory" refers to means a person
who needs and uses the assistance of objects
such as a wheelchair, crutches, walker, or
other appliance or the support of another
person on a regular and continuing basis to
move about.
(y)(36) A "Senior Center" is "Senior center" means a
community or neighborhood facility for the
organization and provision of a broad
spectrum of services including health, social,
nutritional and educational services and a
facility for recreational and group activities for
older persons. (Administration on Aging
definition)
(v)(37) "Special care services" aremeans services by a
certified adult day care center program that
promotes itself as providing programming,
activities or care specifically designed for
persons with Alzheimer's Disease, or other
dementias, or related disorders, mental health
disabilities, or other special needs diseases or
conditions.
(w)(38) "Supervising agency" is means the county
department of social services in the county in
which the day care program is located. The
county department is responsible for seeing
that certification standards are met on an on-going
basis and for making a recommendation
to the Division of Aging and Adult Services
regarding certification.
Authority G.S. 131D-6; 143B-153; S.L. 1999-334.
SECTION .0300 - ADMINISTRATION
10A NCAC 06R .0301 GOVERNING BODY
(a) Responsibility for sound management rests with the
governing body of the day care program. In a private for-profit
program, responsibility for management rests with the owner or
board of directors; in a private, non-profit program, with the
board of directors; in a public agency, with the board of that
agency.
(b) The governing body of a day care center program shall
establish and maintain sound management procedures,
including:
(1) approval of organizational structure;
(2) adoption of an annual budget;
(3) regular review of financial status, making sure
that the program is under sound fiscal
management; This includes an conducting a
review of the annual budget, monthly accounts
of income and expenditures to reflect against
the projected budget, and an annual audit;
(4) appointment of the program director who may
shall delegate responsibility for conduct of
specific programmatic and administrative
activities in accordance with policies adopted
by the governing body; and
(5) establishment adoption of written policies
regarding operation, including;
(A) program policy statement policies
outlining program goals; enrollment
and discharge criteria and procedures;
hours of operation; types of services
provided, including transportation if
offered; rates and payments; and
management of medications; and any
other information considered
appropriate to include in this
document; the policy statement
policies must shall be designed so
copies can may be given to interested
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358
parties who request information about
the day care program;
(B) personnel policies; and
(C) any other policies deemed necessary,
necessary by the governing body,
such as agreements with other
agencies and organizations.
organizations;
(D)(c) all All policies affecting clients shall be written in the
most direct and understandable language.
(c)(d) The operator owner of a day care home shall establish
and maintain sound operating procedures, including the
following:
(1) develop an annual budget;
(2) maintain monthly accounts of income and
expenditures; and
(3) establish written policies regarding operation,
including:
(A) program policy statement policies
outlining program goals; enrollment
and discharge criteria and procedures;
hours of operation; types of services
provided, including transportation if
offered; rates and payments; and
management of medications; and any
other information considered
appropriate to include in this
document; the policy statement
policies must shall be designed so
copies can may be given to interested
parties who request information about
the day care program;
(B) personnel policies; and
(C) any other policies deemed necessary,
such as agreements with other
agencies and organizations.
organizations;
Authority G.S. 143B-153.
10A NCAC 06R .0303 AGREEMENTS
(a) When the a day care program is located in a multiple-use
facility (e.g., school, church) there must shall be a written
agreement regarding the facility's cooperative use. The
agreement shall contain the following as they apply to the adult
day care program: time of use, maintenance of space, use of
equipment, security, liability, and insurance.
(b) For a program to utilize space currently certified or licensed
for another purpose by a state agency, such as the North
Carolina Division of Facility Services or the North Carolina
Division of Child Development, a letter from the licensing
agency shall be obtained granting permission to use the space for
a purpose other than the original licensed one.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0305 PERSONNEL: CENTERS:
HOMES WITH OPERATOR AND STAFF
(a) General Requirements
(1) The owner of adult day care homes initially
certified after January 1, 2003, or homes that
make structural building modifications after
this date, shall reside in the home.
(1)(2) Staff positions shall be planned and filled
according to the goals of the program and the
manpower needed to develop and direct the
activities which meet these goals.
(2) All staff of the program shall be competent,
ethical, and qualified for the position held.
(3) There shall be a criminal history record check
of all newly-hired employees of adult day
programs.
(3)(4) There shall be a written job description for
each position, full-time or part-time. The job
description shall specify qualifications of
education, experience, and personal traits
(including such characteristics as ability to
relate to people, patience, positive mental
attitude, ability to listen, sense of
responsibility to the program, etc.); education
and experience; to whom employee is
responsible; duties and responsibilities; and
salary range.
(4)(5) References, including former employers, shall
be required in recruitment of staff.
(5)(6) There shall be an established review process
for each employee at least annually and
following any probationary period.
(6)(7) Provision shall be made for There shall be a
written plan for orientation and staff
development of new employees and volunteers
and ongoing development and training of all
staff. Documentation of such orientation, staff
development and training shall be recorded.
(7)(8) At least one substitute staff person shall be
available to provide direct care in the absence
of a regular staff person in order to maintain
the required staff-participant ratio. Such
substitute There shall be a written plan for
staff substitutions in case of absences. The
plan shall include the coverage of usual
responsibilities as well as maintenance of
staff/participant ratio. Substitute staff shall
have the same qualifications and training as
those required by the position and in this
Subchapter. Substitutes are not required to
have current certified CPR and First Aid
training as long as other staff are present with
this training at all times. qualifications,
training, and personal credentials as a regular
staff person giving direct care. Trained
volunteers may be used instead of paid
substitutes.
(8)(9) Each Prior to beginning employment, each
new employee must shall present a medical
evidence statement, completed within the prior
12 months by a physician, nurse practitioner or
physician's assistant, certifying that the
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359
employee has no illness or health condition
that would pose a health risk to others and that
the employee can perform the duties assigned
in the job. he is free from communicable
disease or condition prior to beginning work
and annually thereafter. When such evidence
cannot be presented, employment may
commence, continue, terminate, or be
reassigned based on an assessment of whether
the employee's work tasks would pose a
significant risk to the health of the employee,
co-workers or the public, or whether the
employee is unable to perform the normally
assigned job duties.
(b) Personnel Policies
(1) Personnel policies and their content are the
responsibility of each adult day care program.
center. Each center is required to program
shall state its policies in writing. A copy of
this statement of personnel practice shall be
given to each employee and shall state the
center's program's policy on the following:
(A) annual leave,
(B) educational opportunities,
(C) pay practices,
(D) employee benefits,
(E) grievance procedures,
(F) performance and evaluation
procedures,
(G) criteria for advancement,
(H) termination procedures,
(I) hiring and firing responsibility,
(J) use of any probationary period,
(K) staff participation in reviews of
personnel practices,
(L) maternity leave,
(M) military leave,
(N) civil leave (jury duty and court
attendance), and attendance).
(O) protection of confidential
information.
(2) All policies developed must shall conform to
the United States Department of Labor wage
and hour regulations. regulation.
(c) Staffing Pattern. The staffing pattern shall be dependent
upon the enrollment criteria and the particular needs of the
participants who are to be served. The ratio of paid staff to
participants shall be adequate to meet the goals and objectives of
the program. Whenever paid regularly scheduled staff are
absent, substitutes must shall be used to maintain the
staff-participant ratio. The minimum ratios shall be as follows:
(1) Adult Day Care Homes
One paid staff person with responsibility for
direct participant care for up to each six
participants, up to 16 participants total.
participants;
(2) Adult Day Care Centers
One paid staff person with responsibility for
direct participant care for each eight
participants.
(d) Program Director
(1) The program director shall have the authority
and responsibility for the management of
activities and direction of staff to insure that
activities and services are provided
appropriately and in accordance with
established policies.
(2) The program director shall: shall meet all of
the minimum qualifications and personal traits
stated below:
(A) shall be at least 18 years of age;
(B) shall have completed at least a
minimum of two years of formal post
secondary education from an agency
accredited institution of education by
the United States Department of
Education (including colleges,
universities, technical institutes, and
accredited correspondence schools) or
shall have a high school education
diploma or the equivalent and a
combination minimum of five years
experience and training in services to
elderly or handicapped disabled
adults;
(C) shall have at least two years of work
experience in a human services area,
and demonstrated ability in
supervision and administration;
(D) shall provideprovide, prior to
employment, a written medical
statement from a physician, nurse
practitioner, or physician's assistant
assistant, completed within the prior
12 months, certifying absence of a
health condition that would pose a
risk to others and ability to perform
the duties assigned on the job; and
good health, including freedom from
communicable disease or condition
prior to employment and annually
thereafter. When such a certification
cannot be made, employment may
commence, continue, terminate, or be
reassigned based on an assessment of
whether the employee's work tasks
would pose a significant risk to the
health of the employee, co-workers or
the public, or whether the employee
is unable to perform the normally
assigned job duties;
(E) shall provide at least three current
reference letters or the names of
individuals with whom a reference
interview can be conducted, including
at least one former
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360
employer.employer, if any. The
individuals providing reference
information must be knowledgeable
shall have knowledge of the applicant
director's background and
qualifications.
(3) In employing a program director, the
governing body, agency or owner shall
consider whether or not applicants exhibit the
following characteristics. Only persons
exhibiting the following characteristics shall
be considered for the position of program
director. These characteristics include:
(A) maturity -- good judgment, emotional
stability, ability to make decisions
and set goals;
(B) knowledge and understanding of the
needs of the aging and disabled;
(C) ability to design and implement a
varied, structured program of group
and individual activities; and
(D) managerial and administrative skills -
ability to supervise staff and to plan
and coordinate meaningful staff
training.
(4) The adult day care center program shall have a
full-time program director or a full-time
substitute meeting the requirements as
specified above. The program director shall
assign authority and responsibility for the
management of activities and direction of staff
when the program director is not on site.
director.
Authority G.S. 130A-148; 131D-6; 143B-153.
10A NCAC 06R .0306 PERSONNEL: DAY CARE
HOMES: ONLY STAFF PERSON IS OPERATOR
(a) The operator shall:of an adult day care program shall meet
the qualifications of director as defined in Rule .0305 of this
Section.
(1) be competent, ethical and qualified to carry out
the responsibilities of providing a day care
program;
(2) have a minimum of a high school education or
the equivalent;
(3) be at least 18 years of age;
(4) have at least two years of full-time work
experience and demonstrated ability to manage
all aspects of a day care program;
(5) provide a written medical statement from a
physician, nurse practitioner, or a physician's
assistant certifying good health, including
freedom from communicable disease or
condition prior to employment and annually
thereafter. When such a certification cannot
be made, employment may commence,
continue, terminate, or be reassigned based on
an assessment of whether the employee's work
tasks would pose a significant risk to the
health of the employee, co-workers or the
public, or whether the employee is unable to
perform the normally assigned job duties;
(6) provide at least three current reference letters
or the names of individuals with whom a
reference interview can be conducted,
including at least one former employer, if any.
The individuals providing reference
information must be knowledgeable of the
applicant operator's background and
qualifications.
(b) There shall be a minimum of one staff person during all
hours of operation meeting the requirements set forth in Rule
.0305 of this Section for each six participants, up to 16
participants total. two-six participants.
(c) The A day care home shall have substitute or relief staff to
enable the day care home to remain open on days when the
operator is not available to supervise the program. The
substitute or relief staff shall meet the requirements for this
position as set forth in Rule .0305 of this Section.
Authority G.S. 130A-148; 131D-6; 143B-153.
SECTION .0400 – THE FACILITY
10A NCAC 06R .0402 BUILDING CONSTRUCTION
(a) TheAn adult day care building must shall meet the approval
of the local building inspector (or local fire inspector or fire
marshal if a building inspector is not available) in terms of
structural soundness and fire safety.
(b) The program must shall provide at least one entrance at
ground level with no steps or an entrance ramp with rails and a
maximum slope of 1 in 12 (eight percent). The ramp must shall
be covered with a securely fastened non-skid floor covering
which is safely secured at both ends. Exception: day care
homes which serve only ambulatory persons are not required to
meet this standard.
(c) The facility shall provide accessible toilets according to the
North Carolina Accessibility Code. grab bars or safety frames at
all toilets used by participants.
(d) Facilities where six or fewer adults are served in a single
family dwelling must shall meet building construction
requirements for adult day care homes specified in Section .0700
of this Subchapter.
(e) In programs administered in facilities other than single
family dwellings, which are initially certified since March 1,
1977, the facilities must meet the handicapped section (Volume
1-C) of the All facilities initially certified after January 1, 2003,
or those that make structural building modifications after this
date shall meet the North Carolina State Building Code.
Authority G.S. 143B-153.
10A NCAC 06R .0403 EQUIPMENT AND
FURNISHINGS
(a) Facility Adult Day Care facility equipment and furnishings
shall be adequate to meet the needs of participants and staff and
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361
enable efficient operation of the program. At a minimum, the
The facility shall have:
(1) at least one sturdy straight back chair or sturdy
folding chair for each participant and each
staff person, excluding those in wheelchairs;
person;
(2) table space adequate for all participants to be
served a meal at a table at the same time and
for program activities;
(3) lounge, sofa or recliner seating chairs or sofas
that allow for position changes, are
upholstered or of soft material, and water and
stain resistant, so that at least half of the
participants can relax and rest at the same
time. time; If all participants take a daily rest
period at the same time, the facility shall have
enough of such seating for all participants; and
lounge, sofa or recliner seating so that all
participants can rest and relax at the same
time;
(4) a quiet space with a minimum of one bed or
cot beds or cots so that participants can lie
down as needed separate from other program
activities.
(b) All equipment and furnishings shall be in good condition
and safe for use by all participants and staff of the facility.
Authority G.S. 143B-153.
SECTION .0500 - PROGRAM OPERATION
10A NCAC 06R .0501 PLANNING PROGRAM
ACTIVITIES
(a) Enrollment Policies and Procedures
(1) Each adult program shall have enrollment
policies. Enrollment policies shall be in
writing as a part of the program policy
statement, policies and shall define the
population served. who can be served and
shall be flexible. These policies serve as the
basis for determining who can shall be
accepted into the program and for planning
activities appropriate for the participants. The
policies should shall be specific so as to guard
against prevent enrolling people whose needs
cannot realistically be met by the planned
activities and should shall provide for
dismissal of participants whose needs can no
longer be met or who can no longer be cared
for safely. If a day care program serves
semi-ambulatory or non-ambulatory persons, it
shall be so stated in the admissions criteria.
(2) Enrollment procedures shall be in writing as a
part of the program policy statement. Prior to
enrollment, the applicant and applicant, family
members or other significant person (if
appropriate) must caretaker shall have a
minimum of at least one personal interview
with at least a minimum of one program staff
member. During the interview, the staff shall
complete initial documentation identifying
social and medical care needs, any designated
spiritual, religious or cultural needs, and a
determination of whether the program can
meet the individual's expressed needs. The
staff person doing the interviewing shall sign
the determination of needs and the responsible
party shall sigh the application for enrollment.
The signed application for enrollment and a
current medical examination report must
These signed documents shall be obtained
before the individual's first day of attendance
as a participant in the program.
(3) A medical examination report signed by a
physician, nurse practitioner or physician's
assistant, completed within the prior six
months, shall be obtained by the program
within 30 days of enrollment. This report
must be updated annually no later than the
anniversary date of the initial report.
(3)(4) At enrollment, or in the preliminary initial
interview, the program policies shall be
discussed with each applicant and family
member or other caretaker, significant person
(if applicable) and a copy of the program
policy statement policies shall be provided.
given to each.
(5) Documentation of receipt of and agreement to
abide by the program policies by the
participant or responsible party shall be
obtained by the program and kept in the
participant's file.
(6) The program policies shall contain:
(A) a discharge policy outlining: the
criteria for discharge and notification
procedures for discharge; the
timeframe and procedures for
notifying family or responsible party
of termination; and referral or follow-up
procedures;
(B) a medication policy as specified in
Rule .0505 of this Section;
(C) a description of participant's rights;
(D) grievance policies and procedures for
families;
(E) advance directives policy;
(F) non-discrimination policies;
(G) procedure to maintain confidentiality;
(H) policy on reporting suspected elder
abuse or neglect;
(I) description of the geographical area
served by the program; and
(J) inclement weather policies.
(b) Planning Services for Individual Participants
(1) Within 30 days of enrollment of a new
participant, the program shall perform a
comprehensive assessment and written service
plan for each individual. The assessment shall
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362
address the individual's ability to perform
activities of daily living and instrumental
activities of daily living while in the program.
The mental, social, living environment,
economic and physical health status of the
individual shall also be assessed. The service
plan shall be signed and dated by the program
director or the director's designee. For adult
day health participants the service plan shall
be written and signed by a registered nurse.
(1)(2) Each participant shall have an individualized
written plan for services in the program. In
developing the written service plan, the
participant and his family program shall
include the participant, family members, or
responsible party and other agency
professionals with knowledge of the
individual's needs. The service plan shall be
based on strengths, needs and abilities
identified in the assessment. should be
included, as appropriate. The assessment and
service plan shall be initiated at enrollment
and shall be reviewed at regular intervals, and
no less than once every six months. intervals.
The service plan shall include:
(A) the needs and strengths of the
participant; person;
(B) the interests of the participant;
(B)(C) the measurable service goals and
objectives of care for the participant
person while in the day care program;
(C) activities the person shall participate
in;
(D) the type of interventions to be
provided by the program in order to
reach desired outcomes;
(E) the services to be provided by the
program to achieve the goals and
objectives;
(F) the roles of participant, family,
caregiver, volunteers and program
staff; and
(D)(G) the time limit for the plan, with
provision for review and renewal.
(3) Progress notes in the participant's record shall
be updated at least every three months.
(4) The participant, caregiver and other service
providers shall have the opportunity to
contribute to the development, implementation
and evaluation of the service plan.
(2)(5) Any unusual behavior, change in mood,
change in attitude or attitude, suggestion of
family problems or personal problems, need
for help or services will shall be reported to
the program. appropriate person. If the
participant is a social services client, the report
should shall be made to the participant's family
family, caregiver, or responsible party and the
department of social services worker or the
social worker designated as consultant to the
day care program by the department. If the
participant is not a social services client, the
report should shall be made to the person's
family, caretaker, friend or whomever is
caregiver or responsible party.for the person.
A note should shall be made in the
participant's record of action taken.
(3)(6) The participant or the party responsible party
for the participant may choose the days and
number of days the participant will attend,
with the program director's approval.
(4)(7) AnyThe reason for any unscheduled
participant absence shall be checked out at
least by phone determined by the program
staff and documented on the day it occurs.
The program shall have the responsibility to
attempt to contact the absent participant or the
responsible party. occurs to find out the
reason for the absence. If possible, the absent
participant should be contacted directly. If
impossible to contact the participant directly,
the participant's social worker, family,
caretaker, friend or other responsible person
should be contacted.
(5)(8) Responsibility for supervision rests with the
facility The adult day care program shall have
responsibility for the participant when a
participant is registered in attendance. A
participant leaving the program for part of a
day shall sign out relieving the staff of further
responsibility. If a participant has emotional
or mental impairment which requires close
supervision and that person needs or wants to
leave the program during the day, the social
worker, family, caretaker, caregiver, friend, or
whomever is responsible party shall sign the
person out. for the person shall be notified
prior to the person's leaving the facility. Such
contacts shall be documented in the
participant's record.
(c) Program ActivitiesPlan
(1) The day care center or home shall have a
program plan an activities schedule which
meets the following criteria:
(A) Overall planning of activities shall be
based on elements of the individual
service plans.
(B) The primary program mode shall be
the group process, both large and
small groups, with provision for
individual activities and services as
needed.
(C) Activities shall be adaptable and
modifiable to allow for greater
participation and to maintain
participant's individual skill level.
(C)(D) Activities shall be consistent with the
stated program goals.
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363
(D)(E) Activities shall be planned jointly by
staff and participants. Staff shall
encourage participants to participate
in the planning and operation of the
program as much as they are able,
and to use their skills, talent and
knowledge in program planning and
operation.
(E)(F) All program activities shall be
supervised by program staff.
(F)(G) Participants shall have the choice of
refusing to participate in any given
activity.
(H) Activities shall be age appropriate to
participants.
(2) The program plan activities schedule shall
provide for the inclusion of following five
types of cognitive activities to be available on
a daily basis: basis, and be designed to:
stimulate thinking and creativity; provide
opportunities for learning new ideas and skills;
help maintain existing reasoning skills and
knowledge base; and provide opportunities to
utilize previously learned skills.
(A) diversional - activities to divert
attention from self by focusing on
projects that will result in a finished
product and will foster feelings of
achievement and self-worth. Such
projects shall be designed to
encourage learning, group interaction,
creativity and a sense of personal
fulfillment.
(B) educational - activities and programs
to provide exposure to and
opportunities to learn new ideas and
skills, to rekindle old skills, and to
help participants become more
self-sufficient.
(C) social - activities to provide fun and
enjoyment.
(D) volunteer service - activities and
projects to provide opportunities to
do something for someone else in a
manner that contributes to an attitude
of self-worth and awareness of ability
to contribute to the community.
(E) program assistance - involvement in
and assistance in carrying out
program activities (ex. help with
snacks, devotions, watering plants).
Such participant involvement shall
not be substituted for staff
responsibility for program activities.
(3) The program plan shall provide for a balance
of activities among the five categories
specified in (c)(2) of this Rule with such
activities designed to:
(A) improve the capacity of the
participant for self-care and personal
hygiene, increased feelings of
self-worth and dignity;
(B) improve the social and interactional
skills of the participants;
(C) provide opportunities for exposure to,
awareness of, and involvement in
social and community activities that
promote creative use of leisure time;
(D) improve participant's capacity for
independence.
(3) The activities schedule shall provide for the
inclusion of physical activities to be available
on a daily basis, and be designed to: improve
or maintain mobility and overall strength; and
increase or maintain joint range of motion.
(4) The activities schedule shall provide for the
inclusion of psychosocial activities to be
available on a daily basis, and be designed to:
provide opportunities for social interaction;
develop a sense of belonging; promote goal-oriented
use of time; create feelings of
accomplishment; foster dignity and self-esteem;
prompt self expression; and provide
fun and enjoyment.
(4)(5) The program plan activities schedule shall:
shall be in writing and shall specify:
(A) be in writing, specifying the name of
each activity to be provided, the days
of the week each activity shall be
conducted, and the approximate
length of time of each activity;
(B) indicate the length of time the plan
schedule is to be followed; and
followed.
(C) be posted weekly or monthly in a
prominent place in the facility.
(5) A schedule of activities shall be posted weekly
or monthly, in a prominent place in the
facility, listing by date the planned activities.
(6) Physical activity shall be encouraged within
the limits of the individual, as determined by
medical information furnished by his
physician.
(7) Outings shall be scheduled as often as possible
in order to stimulate the potential of each
participant to be involved in the community.
(8) Program staff shall be encouraged to explore
and utilize other available community
resources as part of the program.
(9) Community services and resources (such as
recreation programs, senior centers) shall be
used as much as possible by the day care
participants as a regular part of day care
program activities.
Authority G.S. 143B-153.
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
364
10A NCAC 06R .0502 NUTRITION
(a) A midday meal shall be provided to each participant in
attendance at the an adult day care program during mealtime.
The meal shall provide at least one-third of an adult's daily
nutritional requirement as specified by the Dietary Guidelines
for Americans, at the following website:
(http://www.usda.gov/cnpp/DietGd.pdf). a registered dietitian or
certified nutritionist. The menu shall be approved by a
registered or licensed dietitian or nutritionist. Meals shall be
prepared and served in a sanitary manner using safe food
handling techniques.
(b) Snacks and fluids shall be offered to meet the participant's
nutritional and fluid needs. At a minimum, a A nutritious
mid-morning and mid-afternoon snack shall be offered daily to
participants. Snacks shall be planned to keep sugar, salt and
cholesterol intake to a minimum.
(c) A therapeutic diet shall be provided, if prescribed in writing
by a physician, physician's assistant or nurse practitioner for any
participant. If therapeutic diets are prepared by program staff,
such staff shall have training in planning and preparing
therapeutic diets or shall provide documentation of previous
training and education sufficient to assure ability to prepare
meals in accordance with a physician's prescription.
(d) A registered dietitian or certified nutritionist shall give
consultation to the staff on basic and special nutritional needs
and proper food handling techniques and the prevention of
foodborne illness. techniques.
(e) An adult day care program shall neither admit nor continue
to serve a participant whose dietary requirements cannot be
accommodated by the program.
(f) Meals shall be stored, prepared and served in a sanitary
manner using safe food handling techniques such as those
recommended by the
United States Department of Agriculture, at the following
website:
http://www.fsis.usda.gov/Fact_Sheets/Safe_Food_Handling_Fac
t_ Sheets/index.asp). The food service provider shall abide by
the food safety and sanitation practices required by the
Commission for Health Services rules applying to adult day care
facilities, at the following website:
(http://www.deh.enr.state.nc.us/ehs/Rules/t15a-18a.33.pdf).
Authority G.S. 143B-153.
10A NCAC 06R .0503 TRANSPORTATION
(a) For programs providing or arranging for public
transportation, the adult day care program shall have a
transportation policy that includes routine and emergency
procedures, with a copy of the relevant procedures located in all
vehicles. Accidents, medical emergencies, weather emergencies
and escort issues shall be addressed.
(a)(b) When the adult day care program provides transportation,
the following requirements must shall be met to ensure the
health and safety of the participants:
(1) Each person transported must shall have a seat
in the vehicle.
(2) Participants shall be transported no more than
30 minutes without being offered the
opportunity to have a rest stop.
(3) Vehicles used to transport participants shall be
equipped with seatbelts. Participants shall be
instructed to use seatbelts while being
transported.
(4) Vehicles shall be equipped with a first aid kit,
consisting of the items listed in 10A NCAC
06S .0301(a), and a fire extinguisher.
(b) It is desired that participants use public transportation, if
available. Relatives and other responsible parties are encouraged
to provide regular transportation, if possible.
Authority G.S. 143B-153.
10A NCAC 06R .0504 EMERGENCIES AND FIRST AID
(a) A fire safety and evacuation plan, approved by the office of
the fire marshal or its designee, shall be prepared and maintained
by each adult day care program in compliance with the North
Carolina State Building and Fire Prevention Code.
(a)(b) Plan for Emergencies. A written plan for handling
emergencies shall be established and displayed prominently in
the facility:
(1) The plan shall relate to medical and
non-medical emergencies and shall specify
responsibilities of each staff member in an
emergency.
(2) All staff shall be knowledgeable about the
plan.
(3) The plan shall include conducting and
documenting, as to date and kind of
emergency, quarterly drills in handling
emergencies, such as medical emergencies,
natural disasters, fires and facility security.
Regular drills in handling different kinds of
emergencies shall be conducted and
documented as to date and kind of emergency.
(b)(c) Evacuation Plan. An evacuation plan shall be posted in
each room and regular fire drills shall be conducted quarterly by
programs with a fire safety sprinkler system and monthly by
programs without a fire safety sprinkler system. at least
quarterly. A record shall be kept of dates and time required to
evacuate the facility.
(c)(d) All physically able staff who have direct contact with
participants are determined physically able shall complete
certified training in standard first aid and cardio-pulmonary
resuscitation (CPR).resuscitation. If a staff member determined
to be physically unable to complete this training, a signature by a
licensed physician, physician assistant or nurse practitioner
attesting to such shall be provided indicating the time limit of
such physical inability. The first aid and CPR This training shall
be: be current, as determined by the organization conducting the
training and issuing the certification.
(1) taught by an instructor certified through the
American Heart Association, American Red
Cross, National Safety Council, American
Safety and Health Institute, or Emergency
Medical Services;
(2) current, as determined by the organization
conducting the training and issuing the
certification; and
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
365
(3) documented on an official attendance card
issued by the organization certifying the
training, or documented by the attendance
course roster, in which case the roster shall be
signed by the instructor, indicate pass or fail
for each student, indicate the length of time the
training is valid, and be accompanied by a
copy of the instructor's certification.
(d)(e) The program shall arrange for medical assistance to be
available in the event of an emergency.
(f) The program shall have a portable basic emergency
information file available on each client that includes:
(1) hospital preference, physician of record and
telephone number;
(2) emergency contact (family or caregiver);
(3) insurance information;
(4) medications and allergies;
(5) current diagnosis and history; and
(6) advance directives, if any.
(e)(g) Adult day care staff shall report actions taken in case of
sickness Sickness and all accidents incidents resulting in
physical injury or suspected physical injury injury, including
incidents involving missing participants shall be reported to the
program director. The program director or operator adult day
care staff shall make sure that all persons needing medical
attention receive such attention as soon as possible. Families of
participants, or The family or responsible party of the participant
involved and other responsible persons, and program staff are to
shall be notified of emergency action taken as soon as possible.
The program director or operator shall compile and keep on
record a report of all emergency actions taken. A copy of the
report shall be sent to the county department of social services
within 72 hours of the incident. services.
Authority G.S. 143B-153.
10A NCAC 06R .0505 MEDICATIONS
All adult day care programs shall have written policies on
participant medication use, medication administration order
changes and medical disposal.
(a)(b) Medications shall be administered according to the
participant's established medication schedule as defined in Rule
.0508(1)(d) (e) (v) of this Section or as authorized by the
participant's caregiver. responsible caretaker.
(b) Participants may keep and administer their own medicines
while attending the day care program. If a participant is
determined to be unable to be responsible for his medication, it
shall be kept for him during the time he is present at the program
and given to him to take at the prescribed time and dosage.
Documentation of whether or not the medications are kept by the
program shall be included in each participant's file.
(c) A record of all medications given to each participant must
shall be updated at a minimum of once every quarter and as
needed and shall document kept indicating each dose given and
is to include the following:
(1) participant's name;
(2) name, strength, dosage, quantity and route and
quantity of the medication;
(3) instructions for giving medication;
(4) date and time medication is administered; and
(5) name or initials of person giving the
medication. If initials are used, a signature
equivalent to those initials is to shall be
entered on this record.
(d) Medications kept by the program shall be kept in the
original pharmacy containers in which they were dispensed. The
containers shall be clearly labeled with the participant's full
name, the name and strength of the medicine, and dosage and
instructions for administration. Medicines kept by the program
shall be kept in a locked location. in a safe place.
(e) Only adult day health or adult day care and day health
combination programs shall enroll or serve participants who
require intravenous, intramuscular or subcutaneous medications
while attending the program.
(e) The program policy statement shall include the policy on
medications, specifying that participants who are able to keep
their medicines shall keep them safely and that the program will
keep medicine of participants who are unable to be responsible
for their own.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0506 HOURS AND DAYS OF
OPERATION
(a) The hours and days of operation shall be set to meet the
needs of the participants and their families.
(b)(a) Care Supervision of adult day program participants and
adult day care program services shall be provided throughout all
hours participants are present at the program.
(c)(b) The program must shall operate for a minimum of six
hours. hours each day.
(d)(c) Day care programs shall provide care supervision of
participants and program activities at least five days per week,
except that a facility may be closed for designated holidays, for
hazardous weather conditions, for vacations, and for other
reasons as agreed by the director and the county department of
social services. Late openings or early closures may be
scheduled on days when hazardous weather conditions exist or
when emergency situations arise.
(e) Attendance schedules for individual participants should be
designed to accommodate the work schedules of participants'
caretaker.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0507 AVAILABILITY AND
ACCESSIBILITY OF PROGRAM POLICIES
The adult day care program policy statement policies shall be
posted in the facility during hours of operation provided to the
participant's family member, responsible party or caretaker at the
time of enrollment and copies shall be available on request
[.0301(b)(5)(A) or (c)(3)(A) of this Subchapter].
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0508 RECORDS
(a) Each adult day care program shall maintain records to
document the progress of each participant and to document
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
366
program operation. Such records shall be kept in a locked file.
The following records are required:
(1) Individual Client Records. An individual
folder for each participant shall be established
and maintained, including a signed application
recording: including:
(a) a signed application recording:
(i)(A) client's full name;
(ii)(B) address and telephone number;
(iii)(C) date of birth, marital status and living
arrangement of client;
(iv)(D) time of day client will arrive and time
of day client will leave the program;
center, on the average;
(v)(E) travel arrangements to and from the
center program for the client;
(vi)(F) name, address and telephone number
of at least two family members or
friends who are responsible for the
client and can be contacted in
emergencies;
(vii)(G) name, address and telephone number
of a licensed medical service provider
who will see the client on request;
and
(H) personal concerns and knowledge of
the caregiver that may have an impact
on the care plan.
(b)(2) An individual folder for each participant shall
be established and maintain copies of all
current and former signed authorizations for
the day care program to receive and give out
confidential information on the participant.
participant when necessary to maintain the
participant's health and to help the participant
improve. Such authorization shall include the
name of the party from whom information is
requested and to whom information is given.
Such authorization must shall be dated within
the prior 12 months and obtained each time a
request for client participant information is
made. made from a different party;
(c)(3) An individual folder for each participant shall
be established and maintain a signed
authorization for the client to receive
emergency medical care from any licensed
medical practitioner, if such emergency care is
needed by the client;
(d)(4) An individual folder for each participant shall
be established and maintain a medical
examination report conducted within the past
three months of enrollment and updated
annually, signed by a licensed physician
physician, or physician's assistant; assistant or
nurse practitioner.This report must be
completed prior to enrollment and updated
annually thereafter. The report shall include
information on:
(i)(A) current diseases and chronic
conditions and the degree to which
these diseases and conditions require
observation by day care staff, and
restriction of normal activities by the
client; diseases/conditions require:
(A) special attention by day care staff,
(B) restriction of normal activities by the
client;
(ii)(B) presence and degree of psychiatric
problems;
(iii)(C) amount of direct supervision the
client requires;
(iv)(D) any limitations on physical activities;
activities, such as walking, exercises,
etc.;
(v)(E) listing of all medications with
dosages and times medications are to
be administered; and
(vi)(F) most recent date participant was seen
by doctor. doctor;
(5) An individual folder for each participant shall
be established and maintain assessment forms
as identified in Rule .0501(a)(2), (b)(1) and
(b)(2) of this Section.
(e)(6) An individual folder for each participant shall
be established and maintain progress notes:
the written report of staff discussions,
conferences, consultation with family or other
interested parties, evaluation of a participant's
progress and any other significant information
regarding a participant's situation. situation;
(f)(7) An individual folder for each participant shall
be established and maintain all service plans
for the participant, including scheduled days of
attendance, for the preceding 12 months.
participant;
(g)(8) An individual folder for each participant shall
be established and maintain a signed
authorization if the participant or his
responsible party will permit photographs
photographs, video, audio recordings or slides
of the participant to be made by the day care
program and specifying the publicity efforts
program, whether for medical documentation,
publicity, or any other purpose. Such
authorization shall specify how and where in
which such photographs photographs, video,
audio recordings or slides will be used. Such
authorization used, and must be obtained prior
to taking photographs any photographs, video,
audio recordings or slides of the participant;
(h)(9) An individual folder for each participant shall
be established and maintain a statement signed
by the participant, a family member or other
responsible person party (when applicable)
acknowledging receipt of the program's policy
statement program policies and agreeing to
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
367
uphold program policies pertaining to their the
participant.
(2)(b) Program Records for Day Care Centers. Centers and
Homes shall be kept a minimum of three years and Program
records shall contain:
(a)(1) copies of activity schedules; program plans;
(b)(2) monthly records of expenses and income,
including fees collected, and fees to be
collected;
(c)(3) all bills, receipts and other pertinent
information which document expenses and
income; income, to be kept for a minimum of
three years;
(d)(4) a daily record of attendance of participants by
name;
(e)(5) accident reports;
(f)(6) a record of staff absences, annual leave and
sick leave, including dates and names of
substitutes;
(g)(7) reports on emergency and fire drills;
(h)(8) individual personnel records on all staff
members including:
(i)(A) application for employment;
(B) evidence of a state criminal history
check on each employee providing
direct care;
(ii)(C) job description;
(iii)(D) medical certification of absence of a
health condition that would pose a
risk to others; communicable disease;
(iv)(E) written note or report on any
personnel action taken with the
employee;
(v)(F) written report of annual employee
review;
(G) CPR and first aid training
documentation; and
(H) signed statement to keep all
participant information confidential.
(i)(9) a copy of all written policies, including:
(i)(A) program policies; policy statement;
(ii)(B) personnel policies;
(iii)(C) agreements; agreements regarding
shared space or space licensed by
other Divisions;
(iv)(D) plan for emergencies; and
(v)(E) evacuation plan; evacuation;
(j)(10) evaluation reports; and
(k)(11) control file of DSS-1360s for all participants
for whom Social Services Block Grant (Title
XX) reimbursement is claimed.
(3) Program Records for Day Care Homes.
Program records shall contain:
(a) copies of program plans;
(b) a monthly record of the expenses and
income of the day care program;
(c) all bills, receipts and other pertinent
information which document
expenses and income, to be kept for a
minimum of three years;
(d) a daily record of attendance of
participants;
(e) accident reports;
(f) a copy of all written policies,
including:
(i) program policy statement;
(ii) personnel policies;
(iii) agreements;
(iv) plan for emergencies;
(v) evacuation plan;
(g) program evaluation reports;
(h) reports on emergency and fire drills;
(i) control file of DSS-1360s on all
participants for whom Social Services
Block Grant (Title XX)
reimbursement is claimed.
Authority G.S. 131D-6; 143B-153.
SECTION .0600 – CERTIFICATION PROCEDURE
10A NCAC 06R .0601 PROCEDURE
(a) All individuals, groups or organizations operating or wishing
to operate an adult day care program as defined by G.S. 131D-6
must shall apply for a certificate to the county department of
social services in the county where the program is to be
operated.
(b) A designated social worker will supply necessary forms and
standards for certification and will shall provide technical
assistance and shall conduct make a study of the program with
the Division of Aging and Adult Services Form DAAS-1500 or
DAAS-6205. program.
(c) The initial certification package shall be submitted through
the county department of social services to the state Division of
Aging and Adult Services. The materials and forms to be
included in the package are: The following forms and materials
make up an initial certification package and must be submitted
through the county department of social services to the state
Division of Aging:
(1) The program policy statement;program
policies;
(2) Organizational organizational diagram;
(3) Job job descriptions;
(4) Documentation documentation showing
planned expenditures and resources available
to carry out the program of service for a 12
month period;
(5) A a floor plan of the facility showing
measurements, restrooms and planned use of
space;
(6) Form DSS-1498 DOA-1498 (Fire Inspection
Report) or the equivalent completed and
signed by the local fire inspector, indicating
approval of the facility, no more than 30 days
prior to submission with the certification
package;
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
368
(7) Form DSS-1499 DOA-1499 (Building
Inspection Report for Adult Day Care
Centers), Services for Adults)DOA-1499a
(Building Inspection Form for Adult Day Care
Homes), or the equivalent completed and
signed by the local building inspector, or fire
inspector or fire marshall if a building
inspector is not available, inspector indicating
approval of the facility, no more than 30 days
prior to submission with the certification
package;
(8) Form DSS-2386 DENR-4054 (Sanitation
Evaluation Report) or the equivalent
completed and signed by a local sanitarian,
indicating approval of the facility, no more
than 30 days prior to the submission with the
certification package;
(9) Written written notice and the effective date,
date if a variance of local zoning ordinances
has been made in order for property to be
utilized for an adult day care program;
(10) A a copy of the articles of incorporation,
bylaws and names and addresses of board
members, members for adult day care
programs sponsored by a non-profit
corporation;
(11) The the name and mailing address of the
owner if a proprietary program;
(12) A a written medical statement from a
physician, nurse practitioner or a physician's
assistant, completed within the 12 months
prior to submission of the certification
package, for each proposed staff member
certifying absence of a health condition that
would pose a risk to others and that the
employee can perform the duties normally
assigned on the job; to freedom from
communicable disease or condition and to
good health signed by a licensed physician,
physician assistant or nurse practitioner no
more than 30 days prior to submission with the
certification package. When such certification
cannot be made, the proposed staff member
may be hired based on an assessment of
whether the work tasks would pose a
significant risk to the health of the employee,
co-workers, or the public, or whether the
employee is unable to perform the normally
assigned job duties; and
(13) verification of standard first aid and cardio-pulmonary
resuscitation certification (CPR)
for each proposed staff member who is
physically able and who will have direct
contact with participants. If a staff member is
determined to be physically unable to
complete this training, a signature by a
licensed physician, physician assistant or nurse
practitioner attesting to such shall be provided
indicating the time limit of such physical
inability. The first aid and CPR training shall
be:
(A) taught by an instructor certified
through the American Heart
Association, American Red Cross,
National Safety Council, American
Safety and Health Institute, or
Emergency Medical Services;
(B) current, as determined by the
organization conducting the training
and issuing the certification; and
(C) documented on an official attendance
card issued by the organization
certifying the training, or documented
by the attendance course roster, in
which case the roster shall be signed
by the instructor, indicate pass or fail
for each student, indicate the length
of time the training is valid and be
accompanied by a copy of the
instructor's certification.
(14) evidence of the completion of a state criminal
history check for the program owner and each
proposed staff member having direct contact
with participants; and
(13)(15) DSS-1500 DAAS-1500 (Adult Day Care
Certification Report). This form must be
submitted by the county department of social
services with a copy to the program.
(d) The following forms and materials make up a certification
package for the renewal of a certification and must shall be
submitted through the county department of social services, no
more than 60 days prior to the end of the current period of
certification, to the state Division of Aging and Adult Services:
Aging:
(1) Form DSS-1498 DOA-1498 (Fire Inspection
Report) or the equivalent completed and
signed by the local fire inspector, indicating
approval of the facility, dated no more than 12
months prior to submission with the
certification package;
(2) Form DSS-1499 DOA-1499 (Building
Inspection Report for Adult Day Care
Centers), DOA-1499a (Building Inspection
Form for Adult Day Care Homes), Services for
Adults) or the equivalent when structural
building modifications have been made during
the previous 12 months, completed and signed
by the local building inspector, or fire
inspector or fire marshall if a building
inspector is not available, inspector indicating
approval of the facility, within 30 days
following completion of the structural building
modifications;
(3) Form DSS-2386 DENR-4054 (Sanitation
Evaluation Report) or the equivalent
completed and signed by a local sanitarian,
environmental health specialist, indicating
approval of the facility, no more than 12
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
369
months prior to submission with the
certification package;
(4) A a written medical statement from a
physician, nurse practitioner or physician's
assistant for each staff member hired
subsequent to the previous certification or
recertification expiration date, certifying
absence of a health condition that would pose
a risk to others and that the employee can
perform the duties normally assigned on the
job; to freedom from communicable disease
or condition and to good health signed by a
licensed physician, physician assistant or nurse
practitioner no more than 12 months prior to
submission with the certification package.
When such a certification cannot be made,
employment may be continued, terminated, or
reassigned based on an assessment of whether
the employee's work tasks would pose a
significant risk to the health of the employee,
co-workers, or the public, or whether the
employee is unable to perform normally
assigned job duties;
(5) An an updated copy of the policy statement,
program policies, organizational diagram, job
descriptions, names and addresses of board
members if applicable, and a floor plan
showing measurements, restrooms, and
planned use of space, if any changes have been
made since the previous certification package
was submitted;
(6) Documentation documentation showing
planned expenditures and resources available
to carry out the program of service for a 12
month period; and
(7) verification of standard first aid and cardio-pulmonary
resuscitation certification (CPR)
for each proposed staff member who is
physically able and who will have direct
contact with participants. If a staff member is
determined to be physically unable to
complete this training, a signature by a
licensed physician, physician assistant or nurse
practitioner attesting to such shall be provided
indicating the time limit of such physical
inability. The first aid and CPR training shall
be:
(A) taught by an instructor certified
through the American Heart
Association, American Red Cross,
National Safety Council, American
Safety and Health Institute or
Emergency Medical Services;
(B) current, as determined by the
organization conducting the training
and issuing the certification; and
(C) documented by an official attendance
card or attendance course roster, in
which case the roster shall indicate
pass or fail for each participant and be
accompanied by the instructor's
certification, signature, and length of
time the training is valid.
(7)(8) DSS-1500 DAAS-1500 (Adult Day Care
Certification Report). This form must be
submitted with the certification package by the
Department of Social Services to the Division
of Aging and Adult Services at least 30 days in
advance of the expiration date of the
certificate, with a copy to the program.
(e) If during the study of the program it does not appear that all
standards can be met, the county department will so inform the
applicant, indicating in writing the reasons, and give the
applicant an opportunity to withdraw the application. Upon the
applicant's request, the application will be completed and
submitted to the Division of Aging for consideration.
(f)(e) Following review of the certification package, a
pre-certification visit may be made by staff of state Division of
Aging and Adult Services. Aging.
(g)(f) The Within 14 business days, the Division of Aging and
Adult Services will promptly notify in writing shall provide
written notification to the applicant and the county department of
social services of the action taken after a review of the
certification package and visit, if made.
Authority G.S. 130A-148; 131D-6; 143B-153.
SECTION .0700 - CONSTRUCTION REQUIREMENTS
FOR DAY CARE HOME
10A NCAC 06R .0701 RESIDENTIAL BUILDING
CODE REQUIREMENTS
Construction Adult Day Care Homes initially certified after
January 1, 2003 and those that make structural building
modifications after this date shall must meet the residential
building code requirements of the North Carolina Commercial
Building Code. The requirements shall include: Insurance
Department, including:
(1) Standard standard wood frame, brick, block or
veneer construction;
(2) One story in height; Two stories in height are
allowed provided:
(a) Neither floor shall be greater than
1800 square feet in area.
(b) No aged or physically infirm persons
may be housed on the second floor.
(c) No required participant facilities shall
be located on the second floor.
(d) A complete fire alarm system shall be
installed with pull stations on each
floor.
(e) Interconnected products of
combustion detectors directly wired
to the house current shall be installed
on each floor;
(3)(2) Attic cannot attic shall not be used for storage;
(4)(3) Porches porches and stoops must shall be
protected by handrails;
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
370
(5)(4) Steps must steps shall be protected by
handrails; and
(5) all entrances, pathways and exits shall adhere
to the North Carolina State Accessibility Code.
(6) Corridor:
(a) in existing buildings, a minimum
width of three feet;
(b) in new buildings, a minimum width
of three and one-half feet;
(c) well lighted sufficiently enough for
residents to see clearly;
(7) Outside entrances:
(a) All outside doors must be three feet
wide;
(b) Must be at ground level;
(c) All steps, porches, ramps or stoops
protected by handrails.
Authority G.S. 143B-153.
10A NCAC 06R .0702 FIRE AND SAFETY
REQUIREMENTS
Adult Day Care Homes shall:
(1) have fire extinguishers of the type
recommended by the fire inspector and
governed by the North Carolina Fire
Prevention Code, centrally located in the
kitchen;
(2) provide automatic station products of
combustion type smoke detectors as required
by the North Carolina Fire Prevention Code;
(3) provide listed heat detectors in the attic and
basement from the approved list in the North
Carolina Fire Prevention Code; and
(4) provide a fire safety and evacuation plan to be
prepared according to requirements of the
North Carolina Fire Prevention Code.
(a) Fire extinguishers of the type recommended by the fire
inspector but no less than a two and one-half gallon water type,
centrally located and a dry powder or CO(2) type in the kitchen.
(b) Provide automatic single station U.L. products of
combustion type smoke detectors as determined by the local fire
department or local building inspector as appropriate. These
units must be operated by the house current. U.L. approved heat
detectors in the attic and basement.
(c) Other U.L. approved fire detection system as required by
city ordinances or county building inspectors.
(d) A written evacuation plan, in case of fire, approved by the
local fire department, must be posted and rehearsed four times
each year by staff and participants.
Authority G.S. 143B-153.
10A NCAC 06R .0703 OTHER
Adult day care programs initially certified after January 1, 2003,
or those that make structural building modifications after this
date, shall comply with the North Carolina building codes where
are hereby incorporated by reference, including subsequent
amendments and additions. Copies of the building codes may be
obtained from the North Carolina Department of Insurance,
Office of State Fire Marshall, 2101 Mail Service Center,
Raleigh, NC 27699-2101, or telephone (919) 661-5880, at a cost
of fifty dollars ($50.00); or available at the following website:
http://www.ncdoi.com/OSFM/default.asp.
(a) An approved central heating system (portable heaters of any
kind are not allowed).
(b) An approved hot water tank large enough to provide
continuous h

NORTH CAROLINA
REGISTER
Volume 21, Issue 04
Pages 344 - 420
August 15, 2006
This issue contains documents officially filed
through July 25, 2006.
Office of Administrative Hearings
Rules Division
424 North Blount Street (27601)
6714 Mail Service Center
Raleigh, NC 27699-6714
(919) 733-2678
FAX (919) 733-3462
Julian Mann III, Director
Camille Winston, Deputy Director
Molly Masich, Director of APA Services
Dana Sholes, Publications Coordinator
Julie Edwards, Editorial Assistant
Felicia Williams, Editorial Assistant
Lisa Johnson, RRC Administrative Assistant
IN THIS ISSUE
I. EXECUTIVE ORDERS
Executive Order No. 104 .........................................344
II. IN ADDITION
Brownfields Property – Southern Bank & Trust......345
Building Code Council ............................................346 - 347
III. PROPOSED RULES
Administration
Environment & Natural Resources, Dept. of........348 – 350
Agriculture
Agriculture, Board of ...........................................350 - 352
Commerce
Credit Union Division ..........................................352 - 353
Health and Human Services
Social Services Commission ................................353 - 376
Justice
Sheriff's Education and Training Standards .........376 - 386
Commission
Alarm Systems Licensing Board..........................386 – 387
Labor
Labor/Elevator and Amusement Device Bureau ..387 – 388
Occupational Licensing Board & Commissions
General Contractors, Board for ............................388 – 390
Pharmacy, Board of..............................................390 – 395
Respiratory Care Board ........................................395 – 396
Recreational Therapy Licensure, Board of...........396 - 405
IV. RULES REVIEW COMMISSION.......................406 - 417
V. CONTESTED CASE DECISIONS
Index to ALJ Decisions............................................418 - 420
Text of Selected Decisions
For the CUMULATIVE INDEX to the NC Register go to:
http://reports.oah.state.nc.us/cumulativeIndex.pl
North Carolina Register is published semi-monthly for $195 per year by the Office of Administrative Hearings, 424 North Blount Street, Raleigh, NC
27601. North Carolina Register (ISSN 15200604) to mail at Periodicals Rates is paid at Raleigh, NC. POSTMASTER: Send Address changes to
the North Carolina Register, 6714 Mail Service Center, Raleigh, NC 27699-6714.
NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM
The North Carolina Administrative Code (NCAC) has four major classifications of rules. Three of these, titles, chapters, and sections are
mandatory. The major classification of the NCAC is the title. Each major department in the North Carolina executive branch of
government has been assigned a title number. Titles are further broken down into chapters which shall be numerical in order.
Subchapters are optional classifications to be used by agencies when appropriate.
NCAC TITLES TITLE 21
LICENSING BOARDS
TITLE 24
INDEPENDENT AGENCIES
1 ADMINISTRATION
2 AGRICULTURE & CONSUMER SERVICES
3 AUDITOR
4 COMMERCE
5 CORRECTION
6 COUNCIL OF STATE
7 CULTURAL RESOURCES
8 ELECTIONS
9 GOVERNOR
10A HEALTH AND HUMAN SERVICES
11 INSURANCE
12 JUSTICE
13 LABOR
14A CRIME CONTROL & PUBLIC SAFETY
15A ENVIRONMENT &NATURAL RESOURCES
16 PUBLIC EDUCATION
17 REVENUE
18 SECRETARY OF STATE
19A TRANSPORTATION
20 TREASURER
21* OCCUPATIONAL LICENSING BOARDS
22 ADMINISTRATIVE PROCEDURES
(REPEALED)
23 COMMUNITY COLLEGES
24* INDEPENDENT AGENCIES
25 STATE PERSONNEL
26 ADMINISTRATIVE HEARINGS
27 NC STATE BAR
28 JUVENILE JUSTICE AND DELINQUENCY
PREVENTION
1 Acupuncture
2 Architecture
3 Athletic Trainer Examiners
4 Auctioneers
6 Barber Examiners
8 Certified Public Accountant Examiners
10 Chiropractic Examiners
11 Employee Assistance Professionals
12 General Contractors
14 Cosmetic Art Examiners
16 Dental Examiners
17 Dietetics/Nutrition
18 Electrical Contractors
19 Electrolysis
20 Foresters
21 Geologists
22 Hearing Aid Dealers and Fitters
25 Interpreter/Transliterator
26 Landscape Architects
28 Landscape Contractors
29 Locksmith Licensing
30 Massage & Bodywork Therapy
31 Marital and Family Therapy
32 Medical Examiners
33 Midwifery Joint Committee
34 Funeral Service
36 Nursing
37 Nursing Home Administrators
38 Occupational Therapists
40 Opticians
42 Optometry
44 Osteopathic Examination (Repealed)
45 Pastoral Counselors, Fee-Based Practicing
46 Pharmacy
48 Physical Therapy Examiners
50 Plumbing, Heating & Fire Sprinkler
Contractors
52 Podiatry Examiners
53 Professional Counselors
54 Psychology
56 Professional Engineers & Land Surveyors
57 Real Estate Appraisal
58 Real Estate Commission
60 Refrigeration Examiners
61 Respiratory Care
62 Sanitarian Examiners
63 Social Work Certification
64 Speech & Language Pathologists &
Audiologists
65 Therapeutic Recreation Certification
66 Veterinary Medical
68 Substance Abuse Professionals
69 Soil Scientists
1 Housing Finance
2 Agricultural Finance Authority
3 Safety & Health Review
Board
4 Reserved
5 State Health Plan Purchasing
Alliance Board
Note: Title 21 contains the chapters of the various occupational licensing boards and Title 24 contains the chapters of independent agencies.
NORTH CAROLINA REGISTER
Publication Schedule for January 2006 – December 2006
FILING DEADLINES NOTICE OF TEXT PERMANENT RULE TEMPORARY
RULES
Volume &
issue
number
Issue date Last day
for filing
Earliest date for
public hearing
End of required
comment
period
Deadline to submit
to RRC
for review at
next meeting
Earliest Eff.
Date of
Permanent Rule
Delayed Eff. Date of
Permanent Rule
(first legislative
day of the next
regular session)
270th day from publication
in the Register
20:13 01/03/06 12/08/05 01/18/06 03/06/06 03/20/06 05/01/06 05/09/06 09/30/06
20:14 01/17/06 12/21/05 02/01/06 03/20/06 04/20/06 06/01/06 01/07 10/14/06
20:15 02/01/06 01/10/06 02/16/06 04/03/06 04/20/06 06/01/06 01/07 10/29/06
20:16 02/15/06 01/25/06 03/02/06 04/17/06 04/20/06 06/01/06 01/07 11/12/06
20:17 03/01/06 02/08/06 03/16/06 05/01/06 05/22/06 07/01/06 01/07 11/26/06
20:18 03/15/06 02/22/06 03/30/06 05/15/06 05/22/06 07/01/06 01/07 12/10/06
20:19 04/03/06 03/13/06 04/18/06 06/02/06 06/20/06 08/01/06 01/07 12/29/06
20:20 04/17/06 03/24/06 05/02/06 06/16/06 06/20/06 08/01/06 01/07 01/12/07
20:21 05/01/06 04/07/06 05/16/06 06/30/06 07/20/06 09/01/06 01/07 01/26/07
20:22 05/15/06 04/24/06 05/30/06 07/14/06 07/20/06 09/01/06 01/07 02/09/07
20:23 06/01/06 05/10/06 06/16/06 07/31/06 08/21/06 10/01/06 01/07 02/26/07
20:24 06/15/06 05/24/06 06/30/06 08/14/06 08/21/06 10/01/06 01/07 03/12/07
21:01 07/03/06 06/12/06 07/18/06 09/01/06 09/20/06 11/01/06 01/07 03/30/07
21:02 07/17/06 06/23/06 08/01/06 09/15/06 09/20/06 11/01/06 01/07 04/13/07
21:03 08/01/06 07/11/06 08/16/06 10/02/06 10/20/06 12/01/06 01/07 04/28/07
21:04 08/15/06 07/25/06 08/30/06 10/16/06 10/20/06 12/01/06 01/07 05/12/07
21:05 09/01/06 08/11/06 09/16/06 10/31/06 11/20/06 01/01/07 01/07 05/29/07
21:06 09/15/06 08/24/06 09/30/06 11/14/06 11/20/06 01/01/07 01/07 06/12/07
21:07 10/02/06 09/11/06 10/17/06 12/01/06 12/20/06 02/01/07 05/08 06/29/07
21:08 10/16/06 09/25/06 10/31/06 12/15/06 12/20/06 02/01/07 05/08 07/13/07
21:09 11/01/06 10/11/06 11/16/06 01/01/07 01/22/07 03/01/07 05/08 07/29/07
21:10 11/15/06 10/24/06 11/30/06 01/15/07 01/22/07 03/01/07 05/08 08/12/07
21:11 12/01/06 11/07/06 12/16/06 01/30/07 02/20/07 04/01/07 05/08 08/28/07
21:12 12/15/06 11/22/06 12/30/06 02/13/07 02/20/07 04/01/07 05/08 09/11/07
EXPLANATION OF THE PUBLICATION SCHEDULE
This Publication Schedule is prepared by the Office of Administrative Hearings as a public service and the computation of time periods are not to be deemed binding or controlling.
Time is computed according to 26 NCAC 2C .0302 and the Rules of Civil Procedure, Rule 6.
GENERAL
The North Carolina Register shall be published twice
a month and contains the following information
submitted for publication by a state agency:
(1) temporary rules;
(2) notices of rule-making proceedings;
(3) text of proposed rules;
(4) text of permanent rules approved by the Rules
Review Commission;
(5) notices of receipt of a petition for municipal
incorporation, as required by G.S. 120-165;
(6) Executive Orders of the Governor;
(7) final decision letters from the U.S. Attorney
General concerning changes in laws affecting
voting in a jurisdiction subject of Section 5 of
the Voting Rights Act of 1965, as required by
G.S. 120-30.9H;
(8) orders of the Tax Review Board issued under
G.S. 105-241.2; and
(9) other information the Codifier of Rules
determines to be helpful to the public.
COMPUTING TIME: In computing time in the
schedule, the day of publication of the North Carolina
Register is not included. The last day of the period so
computed is included, unless it is a Saturday, Sunday,
or State holiday, in which event the period runs until
the preceding day which is not a Saturday, Sunday, or
State holiday.
FILING DEADLINES
ISSUE DATE: The Register is published on the first
and fifteen of each month if the first or fifteenth of
the month is not a Saturday, Sunday, or State holiday
for employees mandated by the State Personnel
Commission. If the first or fifteenth of any month is
a Saturday, Sunday, or a holiday for State employees,
the North Carolina Register issue for that day will be
published on the day of that month after the first or
fifteenth that is not a Saturday, Sunday, or holiday for
State employees.
LAST DAY FOR FILING: The last day for filing for any
issue is 15 days before the issue date excluding
Saturdays, Sundays, and holidays for State
employees.
NOTICE OF TEXT
EARLIEST DATE FOR PUBLIC HEARING: The hearing
date shall be at least 15 days after the date a notice of
the hearing is published.
END OF REQUIRED COMMENT PERIOD
An agency shall accept comments on the text of a
proposed rule for at least 60 days after the text is
published or until the date of any public hearings held
on the proposed rule, whichever is longer.
DEADLINE TO SUBMIT TO THE RULES REVIEW
COMMISSION: The Commission shall review a rule
submitted to it on or before the twentieth of a month
by the last day of the next month.
FIRST LEGISLATIVE DAY OF THE NEXT REGULAR
SESSION OF THE GENERAL ASSEMBLY: This date is
the first legislative day of the next regular session of
the General Assembly following approval of the rule
by the Rules Review Commission. See G.S. 150B-
21.3, Effective date of rules.
EXECUTIVE ORDERS
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
344
EXECUTIVE ORDER NO. 104
AMENDING EXECUTIVE ORDER NO. 56, NORTH CAROLINA INTERAGENCY
COUNCIL FOR COORDINATING HOMELESS PROGRAMS
By the power vested in me as Governor by the Constitution and laws of the State of North Carolina, IT IS ORDERED
THAT:
Section 3 of Executive Order No. 56 issued by Michael F. Easley on January 20, 2004, is hereby amended as follows:
Section 3. Chair and Terms of Membership
Each appointment shall be for a term of three years. (All other language within this section is deleted.)
This order is effective immediately.
IN WITNESS WHEREOF, I have hereunto signed my name and affixed the Great Seal of the State of North Carolina at the
Capitol in the City of Raleigh, this thirteenth day of July in the year of our Lord two thousand and six, and of the Independence of the
United States of America the two hundred and thirtieth.
__________________________________________
Michael F. Easley
Governor
ATTEST:
__________________________________________
Elaine F. Marshall
Secretary of State
IN ADDITION
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
345
Note from the Codifier: This Section contains public notices that are required to be published in the Register or have been
approved by the Codifier of Rules for publication.
SUMMARY OF NOTICE OF
INTENT TO REDEVELOP A BROWNFIELDS PROPERTY
Southern Bank and Trust Company
Pursuant to N.C.G.S. § 130A-310.34, Southern Bank and Trust Company has filed with the North Carolina Department of
Environment and Natural Resources ("DENR") a Notice of Intent to Redevelop a Brownfields Property ("Property") in Edenton,
Chowan County, North Carolina. The Property, which is known as the former Chowan Veneer Company site, consists of
approximately 12.4 acres and is located at 259 and 262 Coke Avenue. Environmental contamination exists on the Property in
groundwater. Southern Bank and Trust Company has committed itself to allow no use of the Property other than for residential,
commercial office or commercial retail purposes. The Notice of Intent to Redevelop a Brownfields Property includes: (1) a proposed
Brownfields Agreement between DENR and Southern Bank and Trust Company, which in turn includes (a) a map showing the
location of the Property, (b) a description of the contaminants involved and their concentrations in the media of the Property, (c) the
above-stated description of the intended future use of the Property, and (d) proposed investigation and remediation; and (2) a proposed
Notice of Brownfields Property prepared in accordance with G.S. 130A-310.35.
The full Notice of Intent to Redevelop a Brownfields Property may be reviewed at Shepard Pruden Memorial Library, 106
West Water Street, Edenton, North Carolina, 27932 by contacting Rosa Lee Miller at (252)-482-4112 or at Shepard-pruden@
pettigrewlibraries.org; or at the offices of the N.C. Brownfields Program, 401 Oberlin Rd., Suite 150, Raleigh, NC 27605
(where DENR will provide auxiliary aids and services for persons with disabilities who wish to review the documents) by contacting
Shirley Liggins at that address, at (919) 508-8411 or at shirley.liggin@ncmail.net.
Written public comments may be submitted to DENR within 60 days after the date this Notice is published in a newspaper of
general circulation serving the area in which the Brownfields property is located, or in the North Carolina Register, whichever is later.
Written requests for a public meeting may be submitted to DENR within 30 days after the period for written public comments begins.
Thus, if Southern Bank and Trust Company, as it plans, publishes this Summary in the North Carolina Register after it publishes the
Summary in a newspaper of general circulation serving the area in which the brownfields property is located, and if it effects
publication of this Summary in the North Carolina Register on the date it expects to do so, the periods for submitting written requests
for a public meeting regarding this project and for submitting written public comments will commence on August 16, 2006. All such
comments and requests should be addressed as follows:
Mr. Bruce Nicholson
Brownfields Program Manager
Division of Waste Management
NC Department of Environment and Natural Resources
401 Oberlin Road, Suite 150
Raleigh, North Carolina 27605
IN ADDITION
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
346
NOTICE OF RULE MAKING PROCEEDINGS AND PUBLIC HEARING
NORTH CAROLINA BUILDING CODE COUNCIL
Notice of Rule-making Proceedings is hereby given by NC Building Code Council in accordance with G.S. 150B-21.5(d).
Citation to Existing Rule Affected by this Rule-Making: NC Administrative and Building Codes.
Authority for Rule-making: G.S. 143-136; 143-138.
Reason for Proposed Action: To incorporate changes in the NC Building Codes as a result of rulemaking petitions filed with the NC
Building Code Council and to incorporate changes proposed by the Council.
Public Hearing: September 11, 2006, 1:00PM, Asheville Public Works Building, 161 South Charlotte Street, Asheville, NC 28801.
Comment Procedures: Written comments may be sent to Barry Gupton, Secretary, NC Building Code Council, c/o NC Department
of Insurance, 322 Chapanoke Road, Suite 200, Raleigh, NC 27603. Comment period expires on October 16, 2006.
Statement of Subject Matter:
1. Request by the Special Inspections Ad Hoc Committee to amend the 2006 NC Administrative Code requirements for special
inspections.
107.5 Special Inspections. Special inspections required by the building code or the building inspector shall be performed by a NC
registered design professional or a qualified inspector under their responsible charge.
2. Request by the Special Inspections Ad Hoc Committee to amend the 2006 NC Building Code requirements for special inspections.
1704 Special Inspections
1704.1 General. Where application is made for construction as described in this section, the building official, at the official’s
discretion, may require the owner to employ one or more special inspectors to provide inspections during construction on the types of
work listed under Section 1704 per 1704.1.2. The special inspector shall demonstrate competence, to the satisfaction of the building
official, for inspection of the particular type of construction or operation requiring special inspection. These inspections are in
addition to the inspections specified in the North Carolina Administrative Code and Policies.
Exceptions:
1. Special inspections are not required for work of a minor nature or as warranted by conditions in the jurisdiction as approved by the
building official.
2. Special inspections are not required for building components unless the design involves the practice of professional engineering or
architecture as defined by applicable state statutes and regulations governing the professional registration and certification of
engineers or architects.
3. Unless otherwise required by the building official, special inspections are not required for occupancies in Group R-3 as application
in 101.2 and occupancies in Group U that are accessory to a residential occupancy including, but not limited, those listed in 312.1
1704.1.1 Building permit requirement. The permit applicant shall submit a statement of special inspections prepared by the
registered design professional in responsible charge in accordance with Section 106.1 as a condition for permit issuance. This
statement shall include a complete list of materials and work requiring special inspections by this section, the inspections to be
performed and a list of the individuals, approved agencies or firms intended to be retained for conducting such inspections.
1704.1.2 Special Inspections requirement.
Special inspections per Section 1704 are required for building, building components or other structures per the following:
1. Buildings or other structures listed in Table 1604.5 in category II if:
a. Building height exceeds 45 feet or three stories, or
b. The building is an Underground buildings per 405.1;
2. Buildings or other structures listed in table 1604.5 in categories III or IV;
3. Piles, piers and special foundations;
4. Retaining walls exceeding 5 feet height per 1610.3;
5. Smoke control and smoke exhaust systems;
IN ADDITION
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
347
6. Sprayed fire-resistant materials; or
7. Special case described in 1704.13.
1704.1.3 Report requirement. Special inspectors shall keep records of inspections. The special inspector shall furnish inspection
reports to the building official, and to the registered design professional in responsible charge. Reports shall indicate that work
inspected was done in conformance to approved construction documents. Discrepancies shall be brought to the immediate attention of
the contractor for correction. If the discrepancies are not corrected, the discrepancies shall be brought to the attention of the building
official and to the registered design professional in responsible charge prior to the completion of that phase of the work. A final report
of inspections documenting required special inspections and correction of any discrepancies noted in the inspection shall be submitted
periodically at a frequency agreed upon by the permit applicant and the building official prior to the start of work.
Butch Simmons requested that these two parts go through the rule making process. Al Bass made a motion to accept the two items.
The motion was seconded. Mr. Bass requested that this wording be included in the printing of the code books if the requirements go
thought the rule making process. The motion carried without dissent.
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
348
Note from the Codifier: The notices published in this Section of the NC Register include the text of proposed rules. The agency
must accept comments on the proposed rule(s) for at least 60 days from the publication date, or until the public hearing, or a
later date if specified in the notice by the agency. If the agency adopts a rule that differs substantially from a prior published
notice, the agency must publish the text of the proposed different rule and accept comment on the proposed different rule for 60
days.
Statutory reference: G.S. 150B-21.2.
TITLE 01 – DEPARTMENT OF ADMINISTRATION
Notice is hereby given in accordance with G.S. 150B-21.2 that
the Department of Environment and Natural Resources intends
to repeal the rules cited as 01 NCAC 12 .0601 - .0605, .0701 -
.0704, .1001 - .1008.
Proposed Effective Date: December 1, 2006
Instructions on How to Demand a Public Hearing: (must be
requested in writing within 15 days of notice): Contact David
Griffin, Division Director, by mail NC Aquariums, 417 N. Blount
Street, Raleigh, NC 27601, or by email at
david.griffin@ncmail.net.
Reason for Proposed Action:
01 NCAC 12 .0601- is mostly incorrect and otherwise not
needed.
01 NCAC 12 .0602 – is not needed.
01 NCAC 12 .0603 - .0604 – is incorrect.
01 NCAC 12 .0605 - is incorrect and does not comply with G.S.
150B.
01 NCAC 12 .0701 - .0704 – is no longer needed because the
General Assembly repealed G.S. 143B-390.2(b).
01 NCAC 12 .1001 – .1008 – is not needed because the
Aquariums no longer provide research space to other agencies.
Procedure by which a person can object to the agency on a
proposed rule: Contact David Griffin, Division Director, by
mail, NC Aquariums, 417 North Blount Street, Raleigh, NC
27601, or by email at david.griffin@ncmail.net.
Comments may be submitted to: David Griffin, 417 N. Blount
Street, Raleigh, NC 27601, email david.griffin@ncmail.net
Comment period ends: October 16, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
SECTION .0600 - GENERAL PROVISIONS
01 NCAC 12 .0601 DEFINITIONS
As used in Chapter 12 of Title 1:
(1) "Aquarium" means the North Carolina
Aquarium at Fort Fisher, at Pine Knoll Shores,
or on Roanoke Island;
(2) "Charitable" means for a benevolent purpose;
(3) "Civic" means favoring the improvement of
the environment, health, education, safety,
general welfare, culture or recreation of the
local community through non-political
activities;
(4) "Council" means the North Carolina Marine
Science Council;
(5) "Department" means the Department of
Administration;
(6) "Director" means a director of one of the three
Aquariums or his or her designee;
(7) "Facility" means the Aquarium building and
associated buildings and grounds;
(8) "Permissible user or activity" means a user or
activity that is compatible with the intent and
conditions of the N.C. Aquariums'
Facility-Use Policy;
(9) "Person" means any natural person,
corporation, partnership, association, or
governmental unit;
(10) "Secretary" means the Secretary of
Administration;
(11) "User" means any natural person, corporation,
partnership, association or governmental unit.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0602 NAME CHANGE
Henceforth, the N.C. Marine Resources Center/Fort Fisher shall
be known as the North Carolina Aquarium at Fort Fisher, the
N.C. Marine Resources Center/Bogue Banks shall be known as
the North Carolina Aquarium at Pine Knoll Shores, and the N.C.
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
349
Marine Resources Center/Roanoke Island shall be known as the
North Carolina Aquarium on Roanoke Island.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0603 FORMS
The forms listed in this Rule affect the public and are available
at:
N.C. Aquarium on Roanoke Island N.C. Aquarium at
Pine Knoll Shores
P.O. Box 967 P.O. Box 580
Manteo, N.C. 27954 Atlantic Beach,
N.C. 28512
(919) 473-3493 (919) 247-4003
N.C. Aquarium at Fort Fisher Office of Marine
Affairs
Box 130 N.C. Dept. of
Administration
Kure Beach, N.C. 28449 417 North Blount
Street
(919) 458-8257 Raleigh, N.C.
27601
(919) 733-2290
(1) Aquarium Facility-Use Policy;
(2) Application for Use of Facility;
(3) Contract for Off-Hours Use of Facility;
(4) Application for Research Space;
(5) Contract for Use of Research Space;
(6) Cost Schedule for Use of Space;
(7) Seasonal Aquarium Calendar of Events and
Program Participation Procedures; and
(8) Marine Science Council Operating Procedures.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0604 APPEALS
Any person affected by a decision made pursuant to this chapter
who wishes to appeal the decision shall direct the appeal in
writing to the Secretary of Administration, 116 West Jones
Street, Raleigh, N.C. 27611. Appeals of decisions of the
Secretary made pursuant to this chapter shall be governed by
Chapter 150B (Administrative Procedure Act) of the North
Carolina General Statutes.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0605 ORGANIZATION: POWERS
AND DUTIES
The Office of Marine Affairs is organized to promote and
advocate for public awareness, appreciation, study and wise
utilization of the cultural and natural resources of coastal North
Carolina. The office recommends state ocean policies,
advocates for marine research, promotes wise stewardship and
provides information and educational opportunities for the
public. The office administers the three North Carolina
Aquariums and the Outer Continental Shelf Resources Recovery
Program and staffs the Marine Science Council. Information
may be obtained from the office which is located at 417 North
Blount Street, Raleigh 27601.
Authority G.S. 143B-390.2(b).
SECTION .0700 - MARINE SCIENCE COUNCIL
01 NCAC 12 .0701 STAFF
The Council is staffed by the Office of Marine Affairs, 417
North Blount Street, Raleigh, N.C. 27601.
Authority G.S. 143B-390.2(b);
01 NCAC 12 .0702 BYLAWS
The Council's operating procedures are governed by its bylaws
which are available from the Office of Marine Affairs or the
Aquariums.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0703 AGENDA
Any person desiring to have topics included on the agenda for
discussion at a regular Council meeting shall notify the staff at
least 20 days prior to the meeting date. Final approval for
proposed agenda items rests with the Council executive
committee.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .0704 MINUTES
Minutes of Council meetings are available for inspection at the
Office of Marine Affairs, 417 North Blount Street, Raleigh N.C.
27601.
Authority G.S. 143B-390.2(b).
SECTION .1000 - PROCEDURES FOR USE OF
RESEARCH SPACE
01 NCAC 12 .1001 WHEN USE IS LESS THAN 60
DAYS
Research applicants may apply directly to and receive approval
from the director of the preferred facility if the period of
continuous use is for 60 days or less.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1002 WHEN USE EXCEEDS 60 DAYS
Potential researchers wishing to schedule space for a period
greater than 60 days shall obtain a copy of the Facility-Use
Policy and file a completed application with the Office of
Marine Affairs, 417 North Blount Street, Raleigh, N.C. 27601,
no more than 12 months prior to the date the space will be
needed but no less than 60 days prior to the next regularly
scheduled Council meeting. Applications and copies of the
Facility-Use Policy are available at the Office of Marine Affairs
and at each of the three Aquariums.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1003 APPLICATIONS FORWARDED
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
350
BY OFFICE OF MARINE AFFAIRS
Upon receipt of a completed application, the Office of Marine
Affairs shall forward a copy to the appropriate director for
confirmation of space availability and comments by the
Aquarium staff.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1004 REVIEW OF APPLICATIONS
The director shall send his or her comments and
recommendation for approval or disapproval to the Office of
Marine Affairs for distribution along with the application to the
Marine Science Council or a Council subcommittee for review.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1005 NOTIFICATION TO
APPLICANT
If denied, the director shall notify the applicant of the decision.
Upon request, the director will provide the applicant with the
reasons for denial of his or her application. If approved, the
director shall allocate the space and notify the applicant. The
letter of notification shall contain a statement warning that
failure to appear to utilize the space within one week following
the date for which it was requested may result in the approval
being withdrawn. The letter shall also include the exact dates of
the time during which the applicant will be allowed to occupy
the space, any special conditions that might apply, and any fees
that will be assessed. The letter shall also indicate that the
applicant will be required to sign a contract before occupying the
space.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1006 ANNUAL RENEWAL
Approved researchers shall apply for renewal of the space on an
annual basis at least 60 days before the end of the current period
of use. Applications for renewal may be made by letter to the
appropriate director who shall follow the steps outlined in Rules
.1004 through .1005 of this Subchapter. The Council or
subcommittee shall act on the request for renewal of space at the
next regularly-scheduled meeting of the Council.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1007 CRITERIA FOR SELECTING
APPLICANTS
The following criteria shall apply in evaluating requests for use
of research space:
(1) The research should address problems
affecting the use of coastal or marine
resources.
(2) The research must be compatible with the
facilities of the Aquariums.
(3) Applications indicating any of the following
will receive high priority:
(a) research offering potential of
immediate application;
(b) research which promotes public
information, extension education
programs, and advisory services of
the Aquariums;
(c) research requiring the unique features
of the Aquariums (e.g. coastal
location, multi-disciplinary setting,
accessibility to visiting tourists and
students, etc.);
(d) research which contributes to
fulfilling state goals and policies in
marine affairs.
Authority G.S. 143B-390.2(b).
01 NCAC 12 .1008 APPROVAL OR DENIAL
At the next regularly-scheduled meeting of the council, action
shall be taken regarding approval or denial of the application and
any applicable use restrictions. The Office of Marine Affairs
shall forward the results of the actions taken to the appropriate
director. If denied, the council or subcommittee will specify in
writing the reasons for its decision.
Authority G.S. 143B-390.2(b).
TITLE 02 – DEPARTMENT OF AGRICULTURE AND
CONSUMER SERVICES
Notice is hereby given in accordance with G.S. 150B-21.2 that
the North Carolina Board of Agriculture intends to amend the
rule cited as 02 NCAC 48B .0121.
Proposed Effective Date: December 1, 2006
Instructions on How to Demand a Public Hearing: (must be
requested in writing within 15 days of notice): Any person may
request a public hearing on the proposed rule by submitting a
request in writing no later than August 30, 2006, to David S.
McLeod, Secretary, NC Board of Agriculture, 1001 Mail Service
Center, Raleigh, NC 27699-1001.
Reason for Proposed Action: The proposed amendment would
add nickel to the list of secondary plant nutrients that are
allowed to be claimed in the application for registration of
fertilizer products and establish minimum guarantees for
secondary plant nutrients. There is increased demand for
fertilizer products containing nickel. Adding nickel to this list
will allow the sale of these products while requiring the
manufacturer to guarantee the amount claimed. Establishing
minimum guarantees will ensure that there is sufficient amount
of secondary nutrient present to be beneficial to plant growth.
Procedure by which a person can object to the agency on a
proposed rule: Any person may object to the proposed rule by
submitting a written statement of objection(s) to David S.
McLeod, Secretary, NC Board of Agriculture, 1001 Mail Service
Center, Raleigh, NC 27699-1001.
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
351
Comments may be submitted to: David S. McLeod, 1001 Mail
Service Center, Raleigh, NC 27699-1001, phone (919) 733-7125
extension 249, fax (919) 716-0105, email
david.mcleod@ncmail.net
Comment period ends: October 16, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
CHAPTER 48 - PLANT INDUSTRY
SUBCHAPTER 48B - FERTILIZER
SECTION .0100 - FERTILIZER STANDARDS
02 NCAC 48B .0121 APPLICATION FOR
REGISTRATION OF FERTILIZERS
(a) Each application for registration of any fertilizer shall include the:
(1) net weight;
(2) brand;
(3) grade;
(4) name and address of the person guaranteeing registration; and
(5) sources from which nitrogen, phosphate, and potash are derived in mixed fertilizers.
(b) Each application for registration of any fertilizer in addition to the general information contained in Paragraph (a) of this Rule,
shall include a guaranteed analysis showing the percentages of plant food in the following order and form:
(1) tobacco fertilizers:
(A) total nitrogen (N) X Percent;
[breakdown of nitrogen (N) is optional]
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent;
(D) chlorine (maximum) X Percent;
(2) fertilizer materials:
(A) total nitrogen (N) X Percent;
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent;
(3) specialty fertilizers, manures and fortified mulch:
(A) total nitrogen (N) X Percent;
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent;
(4) organic fertilizers:
(A) total nitrogen (N) (see 2 02 NCAC 48B .0122) X Percent;
(B) available phosphate (P2O5) X Percent;
(C) soluble potash (K2O) X Percent.
(c) Immediately following the guarantees for primary plant nutrients, the following secondary plant nutrients, if used, shall be listed
on the application and guaranteed by percentage of each in elemental form: form, with the following minimum guarantees:
Element Minimum Concentration, %
(1) calcium (Ca); (Ca) 1.0000
(2) magnesium (Mg) (see 2 02 NCAC 48B .0132); .0132) 0.5000
(3) sulfur (S); (S) 1.0000
(4) boron (B); (B) 0.0200
(5) chlorine (Cl); (Cl) 0.1000
(6) cobalt (Co); (Co) 0.0005
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
352
(7) copper (Cu); (Cu) 0.0500
(8) iron (Fe); (Fe) 0.1000
(9) manganese (Mn) (see 2 02 NCAC 48B .0132); .0132) 0.0500
(10) molybdenum (Mo); (Mo) 0.0005
(11) nickel (Ni) 0.0010
(11)(12) sodium (Na); and (Na) 0.1000
(12)(13) zinc (Zn). (Zn) 0.0500
Sources of these elements and proof of availability shall be provided to the Commissioner upon request.
(d) A person shall not make any guarantee or claim for a secondary or minor plant nutrient not listed in Paragraph (c) of this Rule.
(e) A person shall express potential acidity or basicity as equivalent pounds per ton of calcium carbonate, if acid forming or nonacid
forming potential is guaranteed.
(f) Where no determination of available phosphate for organic phosphates is made, total phosphate shall be guaranteed, except as
provided in Paragraph (g) of this Rule.
(g) Where unacidulated mineral phosphates or basic slag is used, both total and available phosphate, as well as degree of fineness,
shall be guaranteed.
Authority G.S. 106-660(a); 106-673.
TITLE 04 – DEPARTMENT OF COMMERCE
Notice is hereby given in accordance with G.S. 150B-21.2 that
the Credit Union Division of the North Carolina Department of
Commerce intends to adopt the rule cited as 04 NCAC 06C
.1205 and amend the rule cited as 04 NCAC 06C .1202.
Proposed Effective Date: December 1, 2006
Instructions on How to Demand a Public Hearing: (must be
requested in writing within 15 days of notice): Written request
for hearing to Antonio Knox, NCCUD Rule-making
Coordinator, 4314 Mail Service Center, Raleigh, NC 27699-
4314
Reason for Proposed Action: To afford North Carolina state-chartered
credit unions the authority to engage in activities in
which they could engage, and to the same extent to which they
could engage, as those afforded to federally chartered credit
unions under 12 USC 1757(11), 12 CFR 710.39(d)(1), and 12
CFR 701.19, per the authority provided by NCGS 54-
109.21(25).
Procedure by which a person can object to the agency on a
proposed rule: Submission of written objections and/or a
request for hearing to Antonio Knox, NCCUD Rule-making
Coordinator, 4314 Mail Service Center, Raleigh, NC 27699-
4314.
Comments may be submitted to: Antonio Knox, NC Credit
Union Division, 4314 Mail Service Center, Raleigh, NC 27699-
4314
Comment period ends: October 16, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
CHAPTER 06 - CREDIT UNION DIVISION
SUBCHAPTER 06C - CREDIT UNIONS
SECTION .1200 - INVESTMENTS
04 NCAC 06C .1202 PERMISSIBLE TRANSACTIONS
Credit unions may:
(1) purchase or sell securities in accordance with
the North Carolina Credit Union Law and
when the purchase or sale is to be completed
within five business days after the agreement
is made;
(2) buy or sell a future contract only if it is used as
a hedging contract incidental to the assembly
of a pool of loans for sale in the secondary
market;
(3) enter into reverse repurchase agreements to
meet ordinary and unexpected liquidity needs
such as temporary share withdrawal or loan
demands, but such agreements represent
borrowing and are limited to the borrowing
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
353
limitations as specified in Regulation .0308 of
this Subchapter;
(4) enter into loan-type repurchase agreements
only with their own members, other credit
unions, or eligible credit union organizations;
(5) enter into investment-type repurchase
agreements if the following essential elements
of a sale of security are included:
(a) The Credit Union takes possession of
the securities or receives a custodial
or safekeeping receipt from a bank or
other financial institution evidencing
that the securities have been
segregated from the general assets of
the vendor.
(b) The Credit Union is not required to
deliver the identical securities in the
event of repurchase.
(c) The Credit Union assumes the risks
of market fluctuation in the value of
the securities at purchase.
(d) The Credit Union receives the
coupons or stated interest rate
dividend on the securities purchased
for the time period owned.
(6) deliver written application to the
Administrator to make investments and
purchase insurance, mutual funds and fixed or
variable annuity products so long as the
investment or product is for the sole purpose
of funding employee benefit, retirement or
deferred compensation plans for employees of
the credit union and the investment or
purchase is to be made in light of applicable
safety and soundness considerations of the
credit union. The Administrator will promptly
grant or deny said application, with or without
conditions or provisions, and in any case
within 60 calendar days following the receipt
of the application by the Administrator.
Authority G.S. 54-109.12; 54-109.82; 54-109.92(a).
04 NCAC 06C .1205 AUTOMATIC LIENS UPON ALL
SHARE TO SECURE ALL DEBTS
In addition to the lien on shares, deposits and accumulated
dividends of members as granted by G.S. 54-109.59, a credit
union shall also have an automatic lien upon all such shares,
deposits and accumulated dividends to secure the full amount of
all debts owed to the credit union by its member. This lien is to
be equivalent to that lien upon members' shares granted to all
federally chartered credit unions by the National Credit Union
Act and its regulations.
Authority G.S. 54-109.21(25).
TITLE 10A – DEPARTMENT OF HEALTH AND HUMAN
SERVICES
Notice is hereby given in accordance with G.S. 150B-21.2 that
the Social Services Commission intends to amend the rules cited
as 10A NCAC 06P .0201, .0401, 06R .0101 - .0102, .0201,
.0301, .0303, .0305 - .0306, .0402 - .0403, .0501 - .0508, .0601,
.0701 - .0703, 06S .0102, .0203 - .0204, .0301, .0402 - .0405.
Proposed Effective Date: July 1, 2007
Public Hearing:
Date: October 18, 2006
Time: 10:00 a.m.
Location: Room 832, Albemarle Building, 325 N. Salisbury
Street, Raleigh, NC
Reason for Proposed Action: The majority of rules were
originally effective in 1978-1979. There have been minor
modifications to the rules, but the original language has
remained the same. Interpretation & enforcement of many of
these rules varies from county to county because, in many cases,
the wording is vague and unclear. A committee comprised of
adult day services program staff & State & county staff, met for
over 3 years reviewing the rules to eliminate the vague language
so that interpretation by those operating adult day programs &
those regulating those programs is more consistent across the
State. Additionally, updates in areas such as building & fire
codes have been integrated & changes have been made to be
consistent to other rules under the authority of the Secretary of
the Department of Health and Human Services; therefore,
bringing more consistency to the rules by eliminating conflicting
language.
Procedure by which a person can object to the agency on a
proposed rule: Susan Dail, NC Division of Social Services, 325
N. Salisbury Street, 2401 Mail Service Center, Raleigh, NC
27699-2401, 919-733-3055, susan.dail@ncmail.net
Comments may be submitted to: Susan Dail, 2401 Mail
Service Center, Raleigh, NC 27699-2401, phone (919) 733-
3055, fax (919) 733-9386, email susan.dail@ncmail.net
Comment period ends: October 18, 2006
Procedure for Subjecting a Proposed Rule to Legislative
Review: If an objection is not resolved prior to the adoption of
the rule, a person may also submit written objections to the
Rules Review Commission. If the Rules Review Commission
receives written and signed objections in accordance with G.S.
150B-21.3(b2) from 10 or more persons clearly requesting
review by the legislature and the Rules Review Commission
approves the rule, the rule will become effective as provided in
G.S. 150B-21.3(b1). The Commission will receive written
objections until 5:00 p.m. on the day following the day the
Commission approves the rule. The Commission will receive
those objections by mail, delivery service, hand delivery, or
facsimile transmission. If you have any further questions
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
354
concerning the submission of objections to the Commission,
please call a Commission staff attorney at 919-733-2721.
Fiscal Impact:
State
Local
Substantive (>$3,000,000)
None
CHAPTER 06 – AGING: PROGRAM OPERATIONS
SUBCHAPTER 06P – ADMINISTRATION OF ADULT
DAY CARE SERVICES
SECTION .0200 - CLIENT ELIGIBILITY: FEES AND
CHARGES
10A NCAC 06P .0201 LIMITATIONS
Limitations on the provision of day care services for adults
receiving state or federal funds include the following:
(1) Day care services for adults may shall be
provided on a time-limited basis to individuals
enrolled in adult day care who are no longer
able to maintain themselves in an independent
living situation and for whom placement in
group care is necessary. Under these
circumstances, adult day care services may
continue to be provided for a maximum of 90
days after entering the group care facility.
State and federal funds may not be used to
support the provision of adult day care for
individuals in group care beyond this 90 day
period. period, except in the circumstances of
Item (2) of this Rule.
(2) Day care services for adults may shall be
provided on a time-limited basis for
individuals preparing to leave a group care
facility for an independent living arrangement.
Under these circumstances, adult day care
services may be provided for a period of up to
90 days prior to the individual's discharge
from the group care facility. Continued
eligibility for adult day care after discharge
from the group care facility shall be
determined on the basis of basic eligibility
criteria and need for the service as stated in
10A NCAC 71Q 71R .0501 or 10A NCAC
05A .0101(6) and (12). State and federal
funds shall not be used to support the
provision of adult day care for individuals in
group care prior to this 90-day period, except
in the circumstances of Item (1) of this Rule.
(3) If a day care program's written admission
criteria limit the number of persons with
certain conditions which can be served at any
one time and an eligible client with such a
condition cannot be accepted because the
program has its maximum number of persons
with that condition, the client must be
considered for enrollment at the first opening
for persons with that condition.
(4) Day care programs which receive federal or
state funds administered by the Division of
Social Services and which serve persons
whose care is paid through some source other
than federal or state funds must charge at least
as much for those persons as for persons
whose care is paid through funds administered
by the division.
(4) Adult day care participants shall be:
(a) adults who do not need nursing
supervision but who require
complete, full-time daytime
supervision in order to live in their
own home or the home of a relative;
or
(b) adults who need help with activities
of daily living in order to maintain
themselves in their own home; or
(c) adults who need intervention in the
form of enrichment and opportunities
for social activities in order to prevent
deterioration that would lead to
placement in group care; or
(d) adults enrolled in an adult day care
program who need time-limited
support in making the transition from
independent living to group care, or
adults who need time-limited support
in making the transition from group
care to independent living.
Authority G.S. 143B-153.
SECTION .0400 - ROLE RESPONSIBILITIES IN
PROGRAM CERTIFICATIONS
10A NCAC 06P .0401 STATE DIVISION OF AGING
AND ADULT SERVICES RESPONSIBILITIES
The Division of Aging and Adult Serviceshas the following
responsibilities in certification of adult day care programs: is
responsible for:
(1) Consultation. The adult day care consultant in
the Division of Aging and Adult Services shall
be available to work with county departments
of social services and day care providers
regarding the development of adult day care
services, interpretation of the North Carolina
Adult Day Care and Day Health Services
Standards for Certificationstandards and
related issues; The regional service
representatives shall be available to county
departments of social services for consultation
regarding the development of adult day care
services as part of a county social services
system;
(2) Certification. The Division of Aging and
Adult Services shall be responsible for all
PROPOSED RULES
21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
355
actions regarding initial certification and
annual recertification of adult day care
programs based on the report and
recommendations of the county department of
social services and the adult day care
consultant in the central office.office; and
(3) Monitoring. The Division of Aging and Adult
Services shall establish criteria for the local
department of social services adult day care
consultant to make announced and
unannounced monitoring visits to certified
adult day programs. An administrative letter
identifying the criteria shall be signed by the
Division Director and sent to all county
departments of social services directors and
adult day care providers.
Authority G.S. 143B-153.
SUBCHAPTER 06R - ADULT DAY CARE STANDARDS
FOR CERTIFICATION
SECTION .0100 - INTRODUCTION
10A NCAC 06R .0101 CERTIFICATION
REQUIREMENT
(a) Subchapter 06r 06R contains standards which have been
developed for certification of adult day care programs. The
standards relate to all aspects of operation of an adult day care
program including administration, facility, and program
operation. Adult day care programs, as defined in G.S. 131D-6,
must shall be certified as meeting these standards. Programs
exempted from certification requirements by G.S. 131D-6 must
shall meet these standards for certification only if receiving
funds administered by the Division of Aging and Adult Services
for social services programs established by federal legislation.
Certification is the responsibility of the county department of
social services and the Department of Health and Human
Services.
(b) Any program making application for certification or making
timely and sufficient application for renewal of certification
must shall be in compliance with all standards for certification.
If all standards are not being met, certification will shall be
denied or limited as appropriate. Certification of any program in
willful violation of standards as defined in Rule .0102(b)
.0102(e) of this Subchapter will shall be revoked. Procedures in
G.S. 150B-3 will shall be followed.
(c) Any program which was in operation, not currently certified,
and serving individuals prior to January 1, 1986, will have a
period of no more than 90 days to make application for
certification. During this time period the program may continue
to operate unless continued operation will endanger the health,
safety or welfare of the participants. During this time period
consultation and technical assistance will be provided by the
county department of social services to aid the program to
achieve full compliance with the rules in this Subchapter.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0102 CORRECTIVE ACTION
(a) Adult day care programs shall be inspected annually and
monitored at least monthlyin accordance with the Division of
Aging and Adult Services criteria for making announced and
unannounced visits to assure compliance with the standards.
Where a violation of G.S. 131D-6 or of this Subchapter is
identified by staff of the county department of social services or
the Division of Aging, Aging and Adult Services,or other
authorized inspectors such as sanitarians, environmental health
specialists, building and fire safety inspectors, the program
director of the adult day care program must shall be notified in
writing of the nature of the violation by that inspector and
requested to take corrective action by the county department of
social services. The county department of social services will
shall determine, in consultation with the program director, the
date by which corrective action must shall be completed based
upon the severity of the violation and the effect of the violation
on the participants of the program.
(1)(b) Where a violation presents a clear and an immediate
danger to the participants' health or safety, the program director
is required to shall take immediate corrective action, after
written notification, action to correct the source of danger or to
remove the participants from the source of danger. Such action
shall be documented in writing within 72 hours.The specific
time for completion of corrective action will be included in the
written notice.
(2)(c) Where a violation has the potential to endanger the
participants' health, safety, or welfare, the program director is
required to shall take corrective action. The date specified for
the completion of the corrective action must shall be no later
than 30 days after the of written notification.
(3)(d) Where a violation does not directly endanger the
participants, such as a violation of administrative or record
keeping standards, the program director is required to shall take
corrective action. The date specified for the completion of the
corrective action must shall be no later than within 90 days after
the of written notification.
(b)(e) If the violation continues beyond the established time for
completion of corrective action, the program will shall be
considered to be in willful violation of the standards and
negative action will shall be taken in accordance with Rules
.0802, .0804, and .0805 of this Subchapter.
Authority G.S. 131D-6; 143B-153.
SECTION .0200 - DEFINITION OF TERMS
10A NCAC 06R .0201 DEFINITIONS
As used in this Subchapter, unless the context requires
otherwise, the following definitions shall apply:
(1) "Activities of Daily Living (ADL)" means
eating; dressing; bathing; toileting; bowel and
bladder control; transfers; and ambulation.
(a)(2) "Adaptable space" Space" means space in a
facility that can be used for several purposes
with little effort and without sacrificing safety
and health standards; for example, an activities
room that is used for crafts in the morning,
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356
used to serve lunch and used for exercise
activities in the afternoon.
(3) "Adaptable activity" means an activity where
participation can be varied from individual,
small group, or large group, and can occur
seated, standing or lying down.
(b)(4) "Adult" is means an individual 18 years of age
or older.
(5) "Adult Day Care Center" means a day care
program operated in a structure other than a
single family dwelling.
(6) "Adult Day Care Home" means a day care
program for up to 16 people operated in a
single family dwelling where the owner
resides.
(7) "Adult Day Care Program" means the
provision of group care and supervision in a
place other than their usual place of abode on a
less than 24-hour basis to adults who may be
physically or mentally disabled. This term is
used to refer to adult day care programs, adult
day health programs, and adult day care and
combined adult day health programs (i.e.,
combination programs).
(c)(8) "Alzheimer's Disease" is means a progressive,
degenerative disease that attacks of the brain
resulting and results in impaired memory,
thinking and behavior. Characteristic
symptoms of the disease include gradual
memory loss, impaired judgement,
disorientation, personality change, difficulty in
learning and loss of language skills.
(d)(9) "Ambulatory" refers to means a person who is
fully mobile and does not need the continuing
help of a person or object for support (except a
walking cane).
(e)(10) "Capacity" is means the number of participants
for which a day care program is certified.
(f)(11) "Caretaker" (or "Caregiver") is means an adult
who regularly provides an impaired adult with
continuous supervision, assistance with
preparation of meals, assistance with
housework and assistance with personal
grooming.
(g)(l2) "Certification" is means the process whereby
an adult day care program is approved as
meeting adult day care standards. the North
Carolina Adult Day Care Rules in 10A NCAC
06.
(h)(13) "Certifying agency" is means the Department
of Health and Human Services, Division of
Aging.Aging and Adult Services.
(i) "Day Care Center" means a day care program
operated in a structure other than a single
family dwelling.
(j) "Day Care Home" means a day care program for
two to six people operated in a single family
dwelling.
(14) "Dementia" means the loss of intellectual
functions (such as thinking, remembering, and
reasoning) of sufficient severity to interfere
with a person's daily functioning. Dementia is
not a disease itself but rather a group of
symptoms that may accompany certain
diseases or conditions. Symptoms may also
include changes in personality, mood and
behavior.
(k)(15) "Group Process"process" means at least three
persons engaged in a common activity that can
bring pleasure, satisfaction and improvement
to all members.activity.
(l)(16) "Institution" is means a facility that is
established to serve a particular purpose and is
required by state law to be provided and
maintained by the state and any facility
defined in federal regulations as an institution.
In North Carolina, the list of institutions
includes but is not necessarily limited to:
includes: general hospitals, state psychiatric
hospitals, state centers for the retarded,
mentally ill, skilled nursing facilities, and
intermediate care facilities.
(17) "Instrumental Activities of Daily Living
(IADL)" means meal preparation, medication
intake, housekeeping, money management,
phone use, laundering, reading, shopping,
communication such as speaking, writing,
signing, gestures, using communication
devices and going to necessary activities.
(18) "Medication schedule" means a listing of all
medications taken by participants with
dosages, route of administration, and times
medications are to be taken.
(m)(19) "Mental health disability" is a severe, lifelong,
chronic condition that is due to a mental or
physical impairment or a combination of
mental and physical impairments. means
disorders with psychological or behavioral
symptoms or impairment in functioning due to
a social, psychological, genetic, physical,
chemical or biological disturbance.
(20) "Modifiable activity" means an activity that
can be simplified and adapted as a participant's
abilities decline or improve.
(21) "Nucleus area" means adult day care programs
located in a multi-use building and refers to
the area not shared by any other programs
located in the building but used only by the
adult day care program.
(n)(22) "Non-ambulatory" refers to means a person
who is bedfast.
(o)(23) "Nursing Care" is care" means skilled nursing
care or intermediate care.
(24) "On-site" means the area certified for the day
care program.
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(p)(25) "Operator" is "Owner" means the person
responsible for management of a day care
home. home or day health home.
(q)(26) "Other special needs disease or condition"
refers to means a diagnosis, disease or
disability, such as AIDS/HIV, that benefits
from monitoring or oversight in a supervised
setting.
(x)(27) "Participant" is means a person enrolled in an
adult day care program.
(28) "Personal care" means tasks that range from
assistance with basic personal hygiene and
grooming, feeding, and ambulation, to medical
monitoring and other health care related tasks.
(r)(29) A "Physical Therapy Program" is "Physical
therapy program" means a series of activities
prescribed by a licensed physical therapist or
activities administered under the supervision
of a physical therapist.
(s)(30) "Program director" means Director" is the
person responsible for program planning,
development and implementation in a day care
center. program.
(31) "Progress notes" means written reports in the
participant's file of staff discussions,
conferences, or consultation with family or
other interested parties, for the purpose of
evaluation of a participant's progress and any
other information regarding the participant's
situation.
(t)(32) "Related disorders" means dementing
dementia or impaired memory impairing
conditions characterized by irreversible
memory dysfunction.
(33) "Respite care," as a component of adult day
care programs, means a service provided to
give temporary relief to the family or
caregiver. Primarily, respite is provided to
families caring for children or adults with
disabilities or families caring for frail or
disabled older adults.
(34) "Responsible party" means the caretaker with
primary day-to-day responsibility for an
impaired adult.
(u)(35) "Semi-ambulatory" refers to means a person
who needs and uses the assistance of objects
such as a wheelchair, crutches, walker, or
other appliance or the support of another
person on a regular and continuing basis to
move about.
(y)(36) A "Senior Center" is "Senior center" means a
community or neighborhood facility for the
organization and provision of a broad
spectrum of services including health, social,
nutritional and educational services and a
facility for recreational and group activities for
older persons. (Administration on Aging
definition)
(v)(37) "Special care services" aremeans services by a
certified adult day care center program that
promotes itself as providing programming,
activities or care specifically designed for
persons with Alzheimer's Disease, or other
dementias, or related disorders, mental health
disabilities, or other special needs diseases or
conditions.
(w)(38) "Supervising agency" is means the county
department of social services in the county in
which the day care program is located. The
county department is responsible for seeing
that certification standards are met on an on-going
basis and for making a recommendation
to the Division of Aging and Adult Services
regarding certification.
Authority G.S. 131D-6; 143B-153; S.L. 1999-334.
SECTION .0300 - ADMINISTRATION
10A NCAC 06R .0301 GOVERNING BODY
(a) Responsibility for sound management rests with the
governing body of the day care program. In a private for-profit
program, responsibility for management rests with the owner or
board of directors; in a private, non-profit program, with the
board of directors; in a public agency, with the board of that
agency.
(b) The governing body of a day care center program shall
establish and maintain sound management procedures,
including:
(1) approval of organizational structure;
(2) adoption of an annual budget;
(3) regular review of financial status, making sure
that the program is under sound fiscal
management; This includes an conducting a
review of the annual budget, monthly accounts
of income and expenditures to reflect against
the projected budget, and an annual audit;
(4) appointment of the program director who may
shall delegate responsibility for conduct of
specific programmatic and administrative
activities in accordance with policies adopted
by the governing body; and
(5) establishment adoption of written policies
regarding operation, including;
(A) program policy statement policies
outlining program goals; enrollment
and discharge criteria and procedures;
hours of operation; types of services
provided, including transportation if
offered; rates and payments; and
management of medications; and any
other information considered
appropriate to include in this
document; the policy statement
policies must shall be designed so
copies can may be given to interested
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358
parties who request information about
the day care program;
(B) personnel policies; and
(C) any other policies deemed necessary,
necessary by the governing body,
such as agreements with other
agencies and organizations.
organizations;
(D)(c) all All policies affecting clients shall be written in the
most direct and understandable language.
(c)(d) The operator owner of a day care home shall establish
and maintain sound operating procedures, including the
following:
(1) develop an annual budget;
(2) maintain monthly accounts of income and
expenditures; and
(3) establish written policies regarding operation,
including:
(A) program policy statement policies
outlining program goals; enrollment
and discharge criteria and procedures;
hours of operation; types of services
provided, including transportation if
offered; rates and payments; and
management of medications; and any
other information considered
appropriate to include in this
document; the policy statement
policies must shall be designed so
copies can may be given to interested
parties who request information about
the day care program;
(B) personnel policies; and
(C) any other policies deemed necessary,
such as agreements with other
agencies and organizations.
organizations;
Authority G.S. 143B-153.
10A NCAC 06R .0303 AGREEMENTS
(a) When the a day care program is located in a multiple-use
facility (e.g., school, church) there must shall be a written
agreement regarding the facility's cooperative use. The
agreement shall contain the following as they apply to the adult
day care program: time of use, maintenance of space, use of
equipment, security, liability, and insurance.
(b) For a program to utilize space currently certified or licensed
for another purpose by a state agency, such as the North
Carolina Division of Facility Services or the North Carolina
Division of Child Development, a letter from the licensing
agency shall be obtained granting permission to use the space for
a purpose other than the original licensed one.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0305 PERSONNEL: CENTERS:
HOMES WITH OPERATOR AND STAFF
(a) General Requirements
(1) The owner of adult day care homes initially
certified after January 1, 2003, or homes that
make structural building modifications after
this date, shall reside in the home.
(1)(2) Staff positions shall be planned and filled
according to the goals of the program and the
manpower needed to develop and direct the
activities which meet these goals.
(2) All staff of the program shall be competent,
ethical, and qualified for the position held.
(3) There shall be a criminal history record check
of all newly-hired employees of adult day
programs.
(3)(4) There shall be a written job description for
each position, full-time or part-time. The job
description shall specify qualifications of
education, experience, and personal traits
(including such characteristics as ability to
relate to people, patience, positive mental
attitude, ability to listen, sense of
responsibility to the program, etc.); education
and experience; to whom employee is
responsible; duties and responsibilities; and
salary range.
(4)(5) References, including former employers, shall
be required in recruitment of staff.
(5)(6) There shall be an established review process
for each employee at least annually and
following any probationary period.
(6)(7) Provision shall be made for There shall be a
written plan for orientation and staff
development of new employees and volunteers
and ongoing development and training of all
staff. Documentation of such orientation, staff
development and training shall be recorded.
(7)(8) At least one substitute staff person shall be
available to provide direct care in the absence
of a regular staff person in order to maintain
the required staff-participant ratio. Such
substitute There shall be a written plan for
staff substitutions in case of absences. The
plan shall include the coverage of usual
responsibilities as well as maintenance of
staff/participant ratio. Substitute staff shall
have the same qualifications and training as
those required by the position and in this
Subchapter. Substitutes are not required to
have current certified CPR and First Aid
training as long as other staff are present with
this training at all times. qualifications,
training, and personal credentials as a regular
staff person giving direct care. Trained
volunteers may be used instead of paid
substitutes.
(8)(9) Each Prior to beginning employment, each
new employee must shall present a medical
evidence statement, completed within the prior
12 months by a physician, nurse practitioner or
physician's assistant, certifying that the
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359
employee has no illness or health condition
that would pose a health risk to others and that
the employee can perform the duties assigned
in the job. he is free from communicable
disease or condition prior to beginning work
and annually thereafter. When such evidence
cannot be presented, employment may
commence, continue, terminate, or be
reassigned based on an assessment of whether
the employee's work tasks would pose a
significant risk to the health of the employee,
co-workers or the public, or whether the
employee is unable to perform the normally
assigned job duties.
(b) Personnel Policies
(1) Personnel policies and their content are the
responsibility of each adult day care program.
center. Each center is required to program
shall state its policies in writing. A copy of
this statement of personnel practice shall be
given to each employee and shall state the
center's program's policy on the following:
(A) annual leave,
(B) educational opportunities,
(C) pay practices,
(D) employee benefits,
(E) grievance procedures,
(F) performance and evaluation
procedures,
(G) criteria for advancement,
(H) termination procedures,
(I) hiring and firing responsibility,
(J) use of any probationary period,
(K) staff participation in reviews of
personnel practices,
(L) maternity leave,
(M) military leave,
(N) civil leave (jury duty and court
attendance), and attendance).
(O) protection of confidential
information.
(2) All policies developed must shall conform to
the United States Department of Labor wage
and hour regulations. regulation.
(c) Staffing Pattern. The staffing pattern shall be dependent
upon the enrollment criteria and the particular needs of the
participants who are to be served. The ratio of paid staff to
participants shall be adequate to meet the goals and objectives of
the program. Whenever paid regularly scheduled staff are
absent, substitutes must shall be used to maintain the
staff-participant ratio. The minimum ratios shall be as follows:
(1) Adult Day Care Homes
One paid staff person with responsibility for
direct participant care for up to each six
participants, up to 16 participants total.
participants;
(2) Adult Day Care Centers
One paid staff person with responsibility for
direct participant care for each eight
participants.
(d) Program Director
(1) The program director shall have the authority
and responsibility for the management of
activities and direction of staff to insure that
activities and services are provided
appropriately and in accordance with
established policies.
(2) The program director shall: shall meet all of
the minimum qualifications and personal traits
stated below:
(A) shall be at least 18 years of age;
(B) shall have completed at least a
minimum of two years of formal post
secondary education from an agency
accredited institution of education by
the United States Department of
Education (including colleges,
universities, technical institutes, and
accredited correspondence schools) or
shall have a high school education
diploma or the equivalent and a
combination minimum of five years
experience and training in services to
elderly or handicapped disabled
adults;
(C) shall have at least two years of work
experience in a human services area,
and demonstrated ability in
supervision and administration;
(D) shall provideprovide, prior to
employment, a written medical
statement from a physician, nurse
practitioner, or physician's assistant
assistant, completed within the prior
12 months, certifying absence of a
health condition that would pose a
risk to others and ability to perform
the duties assigned on the job; and
good health, including freedom from
communicable disease or condition
prior to employment and annually
thereafter. When such a certification
cannot be made, employment may
commence, continue, terminate, or be
reassigned based on an assessment of
whether the employee's work tasks
would pose a significant risk to the
health of the employee, co-workers or
the public, or whether the employee
is unable to perform the normally
assigned job duties;
(E) shall provide at least three current
reference letters or the names of
individuals with whom a reference
interview can be conducted, including
at least one former
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360
employer.employer, if any. The
individuals providing reference
information must be knowledgeable
shall have knowledge of the applicant
director's background and
qualifications.
(3) In employing a program director, the
governing body, agency or owner shall
consider whether or not applicants exhibit the
following characteristics. Only persons
exhibiting the following characteristics shall
be considered for the position of program
director. These characteristics include:
(A) maturity -- good judgment, emotional
stability, ability to make decisions
and set goals;
(B) knowledge and understanding of the
needs of the aging and disabled;
(C) ability to design and implement a
varied, structured program of group
and individual activities; and
(D) managerial and administrative skills -
ability to supervise staff and to plan
and coordinate meaningful staff
training.
(4) The adult day care center program shall have a
full-time program director or a full-time
substitute meeting the requirements as
specified above. The program director shall
assign authority and responsibility for the
management of activities and direction of staff
when the program director is not on site.
director.
Authority G.S. 130A-148; 131D-6; 143B-153.
10A NCAC 06R .0306 PERSONNEL: DAY CARE
HOMES: ONLY STAFF PERSON IS OPERATOR
(a) The operator shall:of an adult day care program shall meet
the qualifications of director as defined in Rule .0305 of this
Section.
(1) be competent, ethical and qualified to carry out
the responsibilities of providing a day care
program;
(2) have a minimum of a high school education or
the equivalent;
(3) be at least 18 years of age;
(4) have at least two years of full-time work
experience and demonstrated ability to manage
all aspects of a day care program;
(5) provide a written medical statement from a
physician, nurse practitioner, or a physician's
assistant certifying good health, including
freedom from communicable disease or
condition prior to employment and annually
thereafter. When such a certification cannot
be made, employment may commence,
continue, terminate, or be reassigned based on
an assessment of whether the employee's work
tasks would pose a significant risk to the
health of the employee, co-workers or the
public, or whether the employee is unable to
perform the normally assigned job duties;
(6) provide at least three current reference letters
or the names of individuals with whom a
reference interview can be conducted,
including at least one former employer, if any.
The individuals providing reference
information must be knowledgeable of the
applicant operator's background and
qualifications.
(b) There shall be a minimum of one staff person during all
hours of operation meeting the requirements set forth in Rule
.0305 of this Section for each six participants, up to 16
participants total. two-six participants.
(c) The A day care home shall have substitute or relief staff to
enable the day care home to remain open on days when the
operator is not available to supervise the program. The
substitute or relief staff shall meet the requirements for this
position as set forth in Rule .0305 of this Section.
Authority G.S. 130A-148; 131D-6; 143B-153.
SECTION .0400 – THE FACILITY
10A NCAC 06R .0402 BUILDING CONSTRUCTION
(a) TheAn adult day care building must shall meet the approval
of the local building inspector (or local fire inspector or fire
marshal if a building inspector is not available) in terms of
structural soundness and fire safety.
(b) The program must shall provide at least one entrance at
ground level with no steps or an entrance ramp with rails and a
maximum slope of 1 in 12 (eight percent). The ramp must shall
be covered with a securely fastened non-skid floor covering
which is safely secured at both ends. Exception: day care
homes which serve only ambulatory persons are not required to
meet this standard.
(c) The facility shall provide accessible toilets according to the
North Carolina Accessibility Code. grab bars or safety frames at
all toilets used by participants.
(d) Facilities where six or fewer adults are served in a single
family dwelling must shall meet building construction
requirements for adult day care homes specified in Section .0700
of this Subchapter.
(e) In programs administered in facilities other than single
family dwellings, which are initially certified since March 1,
1977, the facilities must meet the handicapped section (Volume
1-C) of the All facilities initially certified after January 1, 2003,
or those that make structural building modifications after this
date shall meet the North Carolina State Building Code.
Authority G.S. 143B-153.
10A NCAC 06R .0403 EQUIPMENT AND
FURNISHINGS
(a) Facility Adult Day Care facility equipment and furnishings
shall be adequate to meet the needs of participants and staff and
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361
enable efficient operation of the program. At a minimum, the
The facility shall have:
(1) at least one sturdy straight back chair or sturdy
folding chair for each participant and each
staff person, excluding those in wheelchairs;
person;
(2) table space adequate for all participants to be
served a meal at a table at the same time and
for program activities;
(3) lounge, sofa or recliner seating chairs or sofas
that allow for position changes, are
upholstered or of soft material, and water and
stain resistant, so that at least half of the
participants can relax and rest at the same
time. time; If all participants take a daily rest
period at the same time, the facility shall have
enough of such seating for all participants; and
lounge, sofa or recliner seating so that all
participants can rest and relax at the same
time;
(4) a quiet space with a minimum of one bed or
cot beds or cots so that participants can lie
down as needed separate from other program
activities.
(b) All equipment and furnishings shall be in good condition
and safe for use by all participants and staff of the facility.
Authority G.S. 143B-153.
SECTION .0500 - PROGRAM OPERATION
10A NCAC 06R .0501 PLANNING PROGRAM
ACTIVITIES
(a) Enrollment Policies and Procedures
(1) Each adult program shall have enrollment
policies. Enrollment policies shall be in
writing as a part of the program policy
statement, policies and shall define the
population served. who can be served and
shall be flexible. These policies serve as the
basis for determining who can shall be
accepted into the program and for planning
activities appropriate for the participants. The
policies should shall be specific so as to guard
against prevent enrolling people whose needs
cannot realistically be met by the planned
activities and should shall provide for
dismissal of participants whose needs can no
longer be met or who can no longer be cared
for safely. If a day care program serves
semi-ambulatory or non-ambulatory persons, it
shall be so stated in the admissions criteria.
(2) Enrollment procedures shall be in writing as a
part of the program policy statement. Prior to
enrollment, the applicant and applicant, family
members or other significant person (if
appropriate) must caretaker shall have a
minimum of at least one personal interview
with at least a minimum of one program staff
member. During the interview, the staff shall
complete initial documentation identifying
social and medical care needs, any designated
spiritual, religious or cultural needs, and a
determination of whether the program can
meet the individual's expressed needs. The
staff person doing the interviewing shall sign
the determination of needs and the responsible
party shall sigh the application for enrollment.
The signed application for enrollment and a
current medical examination report must
These signed documents shall be obtained
before the individual's first day of attendance
as a participant in the program.
(3) A medical examination report signed by a
physician, nurse practitioner or physician's
assistant, completed within the prior six
months, shall be obtained by the program
within 30 days of enrollment. This report
must be updated annually no later than the
anniversary date of the initial report.
(3)(4) At enrollment, or in the preliminary initial
interview, the program policies shall be
discussed with each applicant and family
member or other caretaker, significant person
(if applicable) and a copy of the program
policy statement policies shall be provided.
given to each.
(5) Documentation of receipt of and agreement to
abide by the program policies by the
participant or responsible party shall be
obtained by the program and kept in the
participant's file.
(6) The program policies shall contain:
(A) a discharge policy outlining: the
criteria for discharge and notification
procedures for discharge; the
timeframe and procedures for
notifying family or responsible party
of termination; and referral or follow-up
procedures;
(B) a medication policy as specified in
Rule .0505 of this Section;
(C) a description of participant's rights;
(D) grievance policies and procedures for
families;
(E) advance directives policy;
(F) non-discrimination policies;
(G) procedure to maintain confidentiality;
(H) policy on reporting suspected elder
abuse or neglect;
(I) description of the geographical area
served by the program; and
(J) inclement weather policies.
(b) Planning Services for Individual Participants
(1) Within 30 days of enrollment of a new
participant, the program shall perform a
comprehensive assessment and written service
plan for each individual. The assessment shall
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362
address the individual's ability to perform
activities of daily living and instrumental
activities of daily living while in the program.
The mental, social, living environment,
economic and physical health status of the
individual shall also be assessed. The service
plan shall be signed and dated by the program
director or the director's designee. For adult
day health participants the service plan shall
be written and signed by a registered nurse.
(1)(2) Each participant shall have an individualized
written plan for services in the program. In
developing the written service plan, the
participant and his family program shall
include the participant, family members, or
responsible party and other agency
professionals with knowledge of the
individual's needs. The service plan shall be
based on strengths, needs and abilities
identified in the assessment. should be
included, as appropriate. The assessment and
service plan shall be initiated at enrollment
and shall be reviewed at regular intervals, and
no less than once every six months. intervals.
The service plan shall include:
(A) the needs and strengths of the
participant; person;
(B) the interests of the participant;
(B)(C) the measurable service goals and
objectives of care for the participant
person while in the day care program;
(C) activities the person shall participate
in;
(D) the type of interventions to be
provided by the program in order to
reach desired outcomes;
(E) the services to be provided by the
program to achieve the goals and
objectives;
(F) the roles of participant, family,
caregiver, volunteers and program
staff; and
(D)(G) the time limit for the plan, with
provision for review and renewal.
(3) Progress notes in the participant's record shall
be updated at least every three months.
(4) The participant, caregiver and other service
providers shall have the opportunity to
contribute to the development, implementation
and evaluation of the service plan.
(2)(5) Any unusual behavior, change in mood,
change in attitude or attitude, suggestion of
family problems or personal problems, need
for help or services will shall be reported to
the program. appropriate person. If the
participant is a social services client, the report
should shall be made to the participant's family
family, caregiver, or responsible party and the
department of social services worker or the
social worker designated as consultant to the
day care program by the department. If the
participant is not a social services client, the
report should shall be made to the person's
family, caretaker, friend or whomever is
caregiver or responsible party.for the person.
A note should shall be made in the
participant's record of action taken.
(3)(6) The participant or the party responsible party
for the participant may choose the days and
number of days the participant will attend,
with the program director's approval.
(4)(7) AnyThe reason for any unscheduled
participant absence shall be checked out at
least by phone determined by the program
staff and documented on the day it occurs.
The program shall have the responsibility to
attempt to contact the absent participant or the
responsible party. occurs to find out the
reason for the absence. If possible, the absent
participant should be contacted directly. If
impossible to contact the participant directly,
the participant's social worker, family,
caretaker, friend or other responsible person
should be contacted.
(5)(8) Responsibility for supervision rests with the
facility The adult day care program shall have
responsibility for the participant when a
participant is registered in attendance. A
participant leaving the program for part of a
day shall sign out relieving the staff of further
responsibility. If a participant has emotional
or mental impairment which requires close
supervision and that person needs or wants to
leave the program during the day, the social
worker, family, caretaker, caregiver, friend, or
whomever is responsible party shall sign the
person out. for the person shall be notified
prior to the person's leaving the facility. Such
contacts shall be documented in the
participant's record.
(c) Program ActivitiesPlan
(1) The day care center or home shall have a
program plan an activities schedule which
meets the following criteria:
(A) Overall planning of activities shall be
based on elements of the individual
service plans.
(B) The primary program mode shall be
the group process, both large and
small groups, with provision for
individual activities and services as
needed.
(C) Activities shall be adaptable and
modifiable to allow for greater
participation and to maintain
participant's individual skill level.
(C)(D) Activities shall be consistent with the
stated program goals.
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
363
(D)(E) Activities shall be planned jointly by
staff and participants. Staff shall
encourage participants to participate
in the planning and operation of the
program as much as they are able,
and to use their skills, talent and
knowledge in program planning and
operation.
(E)(F) All program activities shall be
supervised by program staff.
(F)(G) Participants shall have the choice of
refusing to participate in any given
activity.
(H) Activities shall be age appropriate to
participants.
(2) The program plan activities schedule shall
provide for the inclusion of following five
types of cognitive activities to be available on
a daily basis: basis, and be designed to:
stimulate thinking and creativity; provide
opportunities for learning new ideas and skills;
help maintain existing reasoning skills and
knowledge base; and provide opportunities to
utilize previously learned skills.
(A) diversional - activities to divert
attention from self by focusing on
projects that will result in a finished
product and will foster feelings of
achievement and self-worth. Such
projects shall be designed to
encourage learning, group interaction,
creativity and a sense of personal
fulfillment.
(B) educational - activities and programs
to provide exposure to and
opportunities to learn new ideas and
skills, to rekindle old skills, and to
help participants become more
self-sufficient.
(C) social - activities to provide fun and
enjoyment.
(D) volunteer service - activities and
projects to provide opportunities to
do something for someone else in a
manner that contributes to an attitude
of self-worth and awareness of ability
to contribute to the community.
(E) program assistance - involvement in
and assistance in carrying out
program activities (ex. help with
snacks, devotions, watering plants).
Such participant involvement shall
not be substituted for staff
responsibility for program activities.
(3) The program plan shall provide for a balance
of activities among the five categories
specified in (c)(2) of this Rule with such
activities designed to:
(A) improve the capacity of the
participant for self-care and personal
hygiene, increased feelings of
self-worth and dignity;
(B) improve the social and interactional
skills of the participants;
(C) provide opportunities for exposure to,
awareness of, and involvement in
social and community activities that
promote creative use of leisure time;
(D) improve participant's capacity for
independence.
(3) The activities schedule shall provide for the
inclusion of physical activities to be available
on a daily basis, and be designed to: improve
or maintain mobility and overall strength; and
increase or maintain joint range of motion.
(4) The activities schedule shall provide for the
inclusion of psychosocial activities to be
available on a daily basis, and be designed to:
provide opportunities for social interaction;
develop a sense of belonging; promote goal-oriented
use of time; create feelings of
accomplishment; foster dignity and self-esteem;
prompt self expression; and provide
fun and enjoyment.
(4)(5) The program plan activities schedule shall:
shall be in writing and shall specify:
(A) be in writing, specifying the name of
each activity to be provided, the days
of the week each activity shall be
conducted, and the approximate
length of time of each activity;
(B) indicate the length of time the plan
schedule is to be followed; and
followed.
(C) be posted weekly or monthly in a
prominent place in the facility.
(5) A schedule of activities shall be posted weekly
or monthly, in a prominent place in the
facility, listing by date the planned activities.
(6) Physical activity shall be encouraged within
the limits of the individual, as determined by
medical information furnished by his
physician.
(7) Outings shall be scheduled as often as possible
in order to stimulate the potential of each
participant to be involved in the community.
(8) Program staff shall be encouraged to explore
and utilize other available community
resources as part of the program.
(9) Community services and resources (such as
recreation programs, senior centers) shall be
used as much as possible by the day care
participants as a regular part of day care
program activities.
Authority G.S. 143B-153.
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
364
10A NCAC 06R .0502 NUTRITION
(a) A midday meal shall be provided to each participant in
attendance at the an adult day care program during mealtime.
The meal shall provide at least one-third of an adult's daily
nutritional requirement as specified by the Dietary Guidelines
for Americans, at the following website:
(http://www.usda.gov/cnpp/DietGd.pdf). a registered dietitian or
certified nutritionist. The menu shall be approved by a
registered or licensed dietitian or nutritionist. Meals shall be
prepared and served in a sanitary manner using safe food
handling techniques.
(b) Snacks and fluids shall be offered to meet the participant's
nutritional and fluid needs. At a minimum, a A nutritious
mid-morning and mid-afternoon snack shall be offered daily to
participants. Snacks shall be planned to keep sugar, salt and
cholesterol intake to a minimum.
(c) A therapeutic diet shall be provided, if prescribed in writing
by a physician, physician's assistant or nurse practitioner for any
participant. If therapeutic diets are prepared by program staff,
such staff shall have training in planning and preparing
therapeutic diets or shall provide documentation of previous
training and education sufficient to assure ability to prepare
meals in accordance with a physician's prescription.
(d) A registered dietitian or certified nutritionist shall give
consultation to the staff on basic and special nutritional needs
and proper food handling techniques and the prevention of
foodborne illness. techniques.
(e) An adult day care program shall neither admit nor continue
to serve a participant whose dietary requirements cannot be
accommodated by the program.
(f) Meals shall be stored, prepared and served in a sanitary
manner using safe food handling techniques such as those
recommended by the
United States Department of Agriculture, at the following
website:
http://www.fsis.usda.gov/Fact_Sheets/Safe_Food_Handling_Fac
t_ Sheets/index.asp). The food service provider shall abide by
the food safety and sanitation practices required by the
Commission for Health Services rules applying to adult day care
facilities, at the following website:
(http://www.deh.enr.state.nc.us/ehs/Rules/t15a-18a.33.pdf).
Authority G.S. 143B-153.
10A NCAC 06R .0503 TRANSPORTATION
(a) For programs providing or arranging for public
transportation, the adult day care program shall have a
transportation policy that includes routine and emergency
procedures, with a copy of the relevant procedures located in all
vehicles. Accidents, medical emergencies, weather emergencies
and escort issues shall be addressed.
(a)(b) When the adult day care program provides transportation,
the following requirements must shall be met to ensure the
health and safety of the participants:
(1) Each person transported must shall have a seat
in the vehicle.
(2) Participants shall be transported no more than
30 minutes without being offered the
opportunity to have a rest stop.
(3) Vehicles used to transport participants shall be
equipped with seatbelts. Participants shall be
instructed to use seatbelts while being
transported.
(4) Vehicles shall be equipped with a first aid kit,
consisting of the items listed in 10A NCAC
06S .0301(a), and a fire extinguisher.
(b) It is desired that participants use public transportation, if
available. Relatives and other responsible parties are encouraged
to provide regular transportation, if possible.
Authority G.S. 143B-153.
10A NCAC 06R .0504 EMERGENCIES AND FIRST AID
(a) A fire safety and evacuation plan, approved by the office of
the fire marshal or its designee, shall be prepared and maintained
by each adult day care program in compliance with the North
Carolina State Building and Fire Prevention Code.
(a)(b) Plan for Emergencies. A written plan for handling
emergencies shall be established and displayed prominently in
the facility:
(1) The plan shall relate to medical and
non-medical emergencies and shall specify
responsibilities of each staff member in an
emergency.
(2) All staff shall be knowledgeable about the
plan.
(3) The plan shall include conducting and
documenting, as to date and kind of
emergency, quarterly drills in handling
emergencies, such as medical emergencies,
natural disasters, fires and facility security.
Regular drills in handling different kinds of
emergencies shall be conducted and
documented as to date and kind of emergency.
(b)(c) Evacuation Plan. An evacuation plan shall be posted in
each room and regular fire drills shall be conducted quarterly by
programs with a fire safety sprinkler system and monthly by
programs without a fire safety sprinkler system. at least
quarterly. A record shall be kept of dates and time required to
evacuate the facility.
(c)(d) All physically able staff who have direct contact with
participants are determined physically able shall complete
certified training in standard first aid and cardio-pulmonary
resuscitation (CPR).resuscitation. If a staff member determined
to be physically unable to complete this training, a signature by a
licensed physician, physician assistant or nurse practitioner
attesting to such shall be provided indicating the time limit of
such physical inability. The first aid and CPR This training shall
be: be current, as determined by the organization conducting the
training and issuing the certification.
(1) taught by an instructor certified through the
American Heart Association, American Red
Cross, National Safety Council, American
Safety and Health Institute, or Emergency
Medical Services;
(2) current, as determined by the organization
conducting the training and issuing the
certification; and
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
365
(3) documented on an official attendance card
issued by the organization certifying the
training, or documented by the attendance
course roster, in which case the roster shall be
signed by the instructor, indicate pass or fail
for each student, indicate the length of time the
training is valid, and be accompanied by a
copy of the instructor's certification.
(d)(e) The program shall arrange for medical assistance to be
available in the event of an emergency.
(f) The program shall have a portable basic emergency
information file available on each client that includes:
(1) hospital preference, physician of record and
telephone number;
(2) emergency contact (family or caregiver);
(3) insurance information;
(4) medications and allergies;
(5) current diagnosis and history; and
(6) advance directives, if any.
(e)(g) Adult day care staff shall report actions taken in case of
sickness Sickness and all accidents incidents resulting in
physical injury or suspected physical injury injury, including
incidents involving missing participants shall be reported to the
program director. The program director or operator adult day
care staff shall make sure that all persons needing medical
attention receive such attention as soon as possible. Families of
participants, or The family or responsible party of the participant
involved and other responsible persons, and program staff are to
shall be notified of emergency action taken as soon as possible.
The program director or operator shall compile and keep on
record a report of all emergency actions taken. A copy of the
report shall be sent to the county department of social services
within 72 hours of the incident. services.
Authority G.S. 143B-153.
10A NCAC 06R .0505 MEDICATIONS
All adult day care programs shall have written policies on
participant medication use, medication administration order
changes and medical disposal.
(a)(b) Medications shall be administered according to the
participant's established medication schedule as defined in Rule
.0508(1)(d) (e) (v) of this Section or as authorized by the
participant's caregiver. responsible caretaker.
(b) Participants may keep and administer their own medicines
while attending the day care program. If a participant is
determined to be unable to be responsible for his medication, it
shall be kept for him during the time he is present at the program
and given to him to take at the prescribed time and dosage.
Documentation of whether or not the medications are kept by the
program shall be included in each participant's file.
(c) A record of all medications given to each participant must
shall be updated at a minimum of once every quarter and as
needed and shall document kept indicating each dose given and
is to include the following:
(1) participant's name;
(2) name, strength, dosage, quantity and route and
quantity of the medication;
(3) instructions for giving medication;
(4) date and time medication is administered; and
(5) name or initials of person giving the
medication. If initials are used, a signature
equivalent to those initials is to shall be
entered on this record.
(d) Medications kept by the program shall be kept in the
original pharmacy containers in which they were dispensed. The
containers shall be clearly labeled with the participant's full
name, the name and strength of the medicine, and dosage and
instructions for administration. Medicines kept by the program
shall be kept in a locked location. in a safe place.
(e) Only adult day health or adult day care and day health
combination programs shall enroll or serve participants who
require intravenous, intramuscular or subcutaneous medications
while attending the program.
(e) The program policy statement shall include the policy on
medications, specifying that participants who are able to keep
their medicines shall keep them safely and that the program will
keep medicine of participants who are unable to be responsible
for their own.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0506 HOURS AND DAYS OF
OPERATION
(a) The hours and days of operation shall be set to meet the
needs of the participants and their families.
(b)(a) Care Supervision of adult day program participants and
adult day care program services shall be provided throughout all
hours participants are present at the program.
(c)(b) The program must shall operate for a minimum of six
hours. hours each day.
(d)(c) Day care programs shall provide care supervision of
participants and program activities at least five days per week,
except that a facility may be closed for designated holidays, for
hazardous weather conditions, for vacations, and for other
reasons as agreed by the director and the county department of
social services. Late openings or early closures may be
scheduled on days when hazardous weather conditions exist or
when emergency situations arise.
(e) Attendance schedules for individual participants should be
designed to accommodate the work schedules of participants'
caretaker.
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0507 AVAILABILITY AND
ACCESSIBILITY OF PROGRAM POLICIES
The adult day care program policy statement policies shall be
posted in the facility during hours of operation provided to the
participant's family member, responsible party or caretaker at the
time of enrollment and copies shall be available on request
[.0301(b)(5)(A) or (c)(3)(A) of this Subchapter].
Authority G.S. 131D-6; 143B-153.
10A NCAC 06R .0508 RECORDS
(a) Each adult day care program shall maintain records to
document the progress of each participant and to document
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
366
program operation. Such records shall be kept in a locked file.
The following records are required:
(1) Individual Client Records. An individual
folder for each participant shall be established
and maintained, including a signed application
recording: including:
(a) a signed application recording:
(i)(A) client's full name;
(ii)(B) address and telephone number;
(iii)(C) date of birth, marital status and living
arrangement of client;
(iv)(D) time of day client will arrive and time
of day client will leave the program;
center, on the average;
(v)(E) travel arrangements to and from the
center program for the client;
(vi)(F) name, address and telephone number
of at least two family members or
friends who are responsible for the
client and can be contacted in
emergencies;
(vii)(G) name, address and telephone number
of a licensed medical service provider
who will see the client on request;
and
(H) personal concerns and knowledge of
the caregiver that may have an impact
on the care plan.
(b)(2) An individual folder for each participant shall
be established and maintain copies of all
current and former signed authorizations for
the day care program to receive and give out
confidential information on the participant.
participant when necessary to maintain the
participant's health and to help the participant
improve. Such authorization shall include the
name of the party from whom information is
requested and to whom information is given.
Such authorization must shall be dated within
the prior 12 months and obtained each time a
request for client participant information is
made. made from a different party;
(c)(3) An individual folder for each participant shall
be established and maintain a signed
authorization for the client to receive
emergency medical care from any licensed
medical practitioner, if such emergency care is
needed by the client;
(d)(4) An individual folder for each participant shall
be established and maintain a medical
examination report conducted within the past
three months of enrollment and updated
annually, signed by a licensed physician
physician, or physician's assistant; assistant or
nurse practitioner.This report must be
completed prior to enrollment and updated
annually thereafter. The report shall include
information on:
(i)(A) current diseases and chronic
conditions and the degree to which
these diseases and conditions require
observation by day care staff, and
restriction of normal activities by the
client; diseases/conditions require:
(A) special attention by day care staff,
(B) restriction of normal activities by the
client;
(ii)(B) presence and degree of psychiatric
problems;
(iii)(C) amount of direct supervision the
client requires;
(iv)(D) any limitations on physical activities;
activities, such as walking, exercises,
etc.;
(v)(E) listing of all medications with
dosages and times medications are to
be administered; and
(vi)(F) most recent date participant was seen
by doctor. doctor;
(5) An individual folder for each participant shall
be established and maintain assessment forms
as identified in Rule .0501(a)(2), (b)(1) and
(b)(2) of this Section.
(e)(6) An individual folder for each participant shall
be established and maintain progress notes:
the written report of staff discussions,
conferences, consultation with family or other
interested parties, evaluation of a participant's
progress and any other significant information
regarding a participant's situation. situation;
(f)(7) An individual folder for each participant shall
be established and maintain all service plans
for the participant, including scheduled days of
attendance, for the preceding 12 months.
participant;
(g)(8) An individual folder for each participant shall
be established and maintain a signed
authorization if the participant or his
responsible party will permit photographs
photographs, video, audio recordings or slides
of the participant to be made by the day care
program and specifying the publicity efforts
program, whether for medical documentation,
publicity, or any other purpose. Such
authorization shall specify how and where in
which such photographs photographs, video,
audio recordings or slides will be used. Such
authorization used, and must be obtained prior
to taking photographs any photographs, video,
audio recordings or slides of the participant;
(h)(9) An individual folder for each participant shall
be established and maintain a statement signed
by the participant, a family member or other
responsible person party (when applicable)
acknowledging receipt of the program's policy
statement program policies and agreeing to
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
367
uphold program policies pertaining to their the
participant.
(2)(b) Program Records for Day Care Centers. Centers and
Homes shall be kept a minimum of three years and Program
records shall contain:
(a)(1) copies of activity schedules; program plans;
(b)(2) monthly records of expenses and income,
including fees collected, and fees to be
collected;
(c)(3) all bills, receipts and other pertinent
information which document expenses and
income; income, to be kept for a minimum of
three years;
(d)(4) a daily record of attendance of participants by
name;
(e)(5) accident reports;
(f)(6) a record of staff absences, annual leave and
sick leave, including dates and names of
substitutes;
(g)(7) reports on emergency and fire drills;
(h)(8) individual personnel records on all staff
members including:
(i)(A) application for employment;
(B) evidence of a state criminal history
check on each employee providing
direct care;
(ii)(C) job description;
(iii)(D) medical certification of absence of a
health condition that would pose a
risk to others; communicable disease;
(iv)(E) written note or report on any
personnel action taken with the
employee;
(v)(F) written report of annual employee
review;
(G) CPR and first aid training
documentation; and
(H) signed statement to keep all
participant information confidential.
(i)(9) a copy of all written policies, including:
(i)(A) program policies; policy statement;
(ii)(B) personnel policies;
(iii)(C) agreements; agreements regarding
shared space or space licensed by
other Divisions;
(iv)(D) plan for emergencies; and
(v)(E) evacuation plan; evacuation;
(j)(10) evaluation reports; and
(k)(11) control file of DSS-1360s for all participants
for whom Social Services Block Grant (Title
XX) reimbursement is claimed.
(3) Program Records for Day Care Homes.
Program records shall contain:
(a) copies of program plans;
(b) a monthly record of the expenses and
income of the day care program;
(c) all bills, receipts and other pertinent
information which document
expenses and income, to be kept for a
minimum of three years;
(d) a daily record of attendance of
participants;
(e) accident reports;
(f) a copy of all written policies,
including:
(i) program policy statement;
(ii) personnel policies;
(iii) agreements;
(iv) plan for emergencies;
(v) evacuation plan;
(g) program evaluation reports;
(h) reports on emergency and fire drills;
(i) control file of DSS-1360s on all
participants for whom Social Services
Block Grant (Title XX)
reimbursement is claimed.
Authority G.S. 131D-6; 143B-153.
SECTION .0600 – CERTIFICATION PROCEDURE
10A NCAC 06R .0601 PROCEDURE
(a) All individuals, groups or organizations operating or wishing
to operate an adult day care program as defined by G.S. 131D-6
must shall apply for a certificate to the county department of
social services in the county where the program is to be
operated.
(b) A designated social worker will supply necessary forms and
standards for certification and will shall provide technical
assistance and shall conduct make a study of the program with
the Division of Aging and Adult Services Form DAAS-1500 or
DAAS-6205. program.
(c) The initial certification package shall be submitted through
the county department of social services to the state Division of
Aging and Adult Services. The materials and forms to be
included in the package are: The following forms and materials
make up an initial certification package and must be submitted
through the county department of social services to the state
Division of Aging:
(1) The program policy statement;program
policies;
(2) Organizational organizational diagram;
(3) Job job descriptions;
(4) Documentation documentation showing
planned expenditures and resources available
to carry out the program of service for a 12
month period;
(5) A a floor plan of the facility showing
measurements, restrooms and planned use of
space;
(6) Form DSS-1498 DOA-1498 (Fire Inspection
Report) or the equivalent completed and
signed by the local fire inspector, indicating
approval of the facility, no more than 30 days
prior to submission with the certification
package;
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
368
(7) Form DSS-1499 DOA-1499 (Building
Inspection Report for Adult Day Care
Centers), Services for Adults)DOA-1499a
(Building Inspection Form for Adult Day Care
Homes), or the equivalent completed and
signed by the local building inspector, or fire
inspector or fire marshall if a building
inspector is not available, inspector indicating
approval of the facility, no more than 30 days
prior to submission with the certification
package;
(8) Form DSS-2386 DENR-4054 (Sanitation
Evaluation Report) or the equivalent
completed and signed by a local sanitarian,
indicating approval of the facility, no more
than 30 days prior to the submission with the
certification package;
(9) Written written notice and the effective date,
date if a variance of local zoning ordinances
has been made in order for property to be
utilized for an adult day care program;
(10) A a copy of the articles of incorporation,
bylaws and names and addresses of board
members, members for adult day care
programs sponsored by a non-profit
corporation;
(11) The the name and mailing address of the
owner if a proprietary program;
(12) A a written medical statement from a
physician, nurse practitioner or a physician's
assistant, completed within the 12 months
prior to submission of the certification
package, for each proposed staff member
certifying absence of a health condition that
would pose a risk to others and that the
employee can perform the duties normally
assigned on the job; to freedom from
communicable disease or condition and to
good health signed by a licensed physician,
physician assistant or nurse practitioner no
more than 30 days prior to submission with the
certification package. When such certification
cannot be made, the proposed staff member
may be hired based on an assessment of
whether the work tasks would pose a
significant risk to the health of the employee,
co-workers, or the public, or whether the
employee is unable to perform the normally
assigned job duties; and
(13) verification of standard first aid and cardio-pulmonary
resuscitation certification (CPR)
for each proposed staff member who is
physically able and who will have direct
contact with participants. If a staff member is
determined to be physically unable to
complete this training, a signature by a
licensed physician, physician assistant or nurse
practitioner attesting to such shall be provided
indicating the time limit of such physical
inability. The first aid and CPR training shall
be:
(A) taught by an instructor certified
through the American Heart
Association, American Red Cross,
National Safety Council, American
Safety and Health Institute, or
Emergency Medical Services;
(B) current, as determined by the
organization conducting the training
and issuing the certification; and
(C) documented on an official attendance
card issued by the organization
certifying the training, or documented
by the attendance course roster, in
which case the roster shall be signed
by the instructor, indicate pass or fail
for each student, indicate the length
of time the training is valid and be
accompanied by a copy of the
instructor's certification.
(14) evidence of the completion of a state criminal
history check for the program owner and each
proposed staff member having direct contact
with participants; and
(13)(15) DSS-1500 DAAS-1500 (Adult Day Care
Certification Report). This form must be
submitted by the county department of social
services with a copy to the program.
(d) The following forms and materials make up a certification
package for the renewal of a certification and must shall be
submitted through the county department of social services, no
more than 60 days prior to the end of the current period of
certification, to the state Division of Aging and Adult Services:
Aging:
(1) Form DSS-1498 DOA-1498 (Fire Inspection
Report) or the equivalent completed and
signed by the local fire inspector, indicating
approval of the facility, dated no more than 12
months prior to submission with the
certification package;
(2) Form DSS-1499 DOA-1499 (Building
Inspection Report for Adult Day Care
Centers), DOA-1499a (Building Inspection
Form for Adult Day Care Homes), Services for
Adults) or the equivalent when structural
building modifications have been made during
the previous 12 months, completed and signed
by the local building inspector, or fire
inspector or fire marshall if a building
inspector is not available, inspector indicating
approval of the facility, within 30 days
following completion of the structural building
modifications;
(3) Form DSS-2386 DENR-4054 (Sanitation
Evaluation Report) or the equivalent
completed and signed by a local sanitarian,
environmental health specialist, indicating
approval of the facility, no more than 12
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21:04 NORTH CAROLINA REGISTER AUGUST 15, 2006
369
months prior to submission with the
certification package;
(4) A a written medical statement from a
physician, nurse practitioner or physician's
assistant for each staff member hired
subsequent to the previous certification or
recertification expiration date, certifying
absence of a health condition that would pose
a risk to others and that the employee can
perform the duties normally assigned on the
job; to freedom from communicable disease
or condition and to good health signed by a
licensed physician, physician assistant or nurse
practitioner no more than 12 months prior to
submission with the certification package.
When such a certification cannot be made,
employment may be continued, terminated, or
reassigned based on an assessment of whether
the employee's work tasks would pose a
significant risk to the health of the employee,
co-workers, or the public, or whether the
employee is unable to perform normally
assigned job duties;
(5) An an updated copy of the policy statement,
program policies, organizational diagram, job
descriptions, names and addresses of board
members if applicable, and a floor plan
showing measurements, restrooms, and
planned use of space, if any changes have been
made since the previous certification package
was submitted;
(6) Documentation documentation showing
planned expenditures and resources available
to carry out the program of service for a 12
month period; and
(7) verification of standard first aid and cardio-pulmonary
resuscitation certification (CPR)
for each proposed staff member who is
physically able and who will have direct
contact with participants. If a staff member is
determined to be physically unable to
complete this training, a signature by a
licensed physician, physician assistant or nurse
practitioner attesting to such shall be provided
indicating the time limit of such physical
inability. The first aid and CPR training shall
be:
(A) taught by an instructor certified
through the American Heart
Association, American Red Cross,
National Safety Council, American
Safety and Health Institute or
Emergency Medical Services;
(B) current, as determined by the
organization conducting the training
and issuing the certification; and
(C) documented by an official attendance
card or attendance course roster, in
which case the roster shall indicate
pass or fail for each participant and be
accompanied by the instructor's
certification, signature, and length of
time the training is valid.
(7)(8) DSS-1500 DAAS-1500 (Adult Day Care
Certification Report). This form must be
submitted with the certification package by the
Department of Social Services to the Division
of Aging and Adult Services at least 30 days in
advance of the expiration date of the
certificate, with a copy to the program.
(e) If during the study of the program it does not appear that all
standards can be met, the county department will so inform the
applicant, indicating in writing the reasons, and give the
applicant an opportunity to withdraw the application. Upon the
applicant's request, the application will be completed and
submitted to the Division of Aging for consideration.
(f)(e) Following review of the certification package, a
pre-certification visit may be made by staff of state Division of
Aging and Adult Services. Aging.
(g)(f) The Within 14 business days, the Division of Aging and
Adult Services will promptly notify in writing shall provide
written notification to the applicant and the county department of
social services of the action taken after a review of the
certification package and visit, if made.
Authority G.S. 130A-148; 131D-6; 143B-153.
SECTION .0700 - CONSTRUCTION REQUIREMENTS
FOR DAY CARE HOME
10A NCAC 06R .0701 RESIDENTIAL BUILDING
CODE REQUIREMENTS
Construction Adult Day Care Homes initially certified after
January 1, 2003 and those that make structural building
modifications after this date shall must meet the residential
building code requirements of the North Carolina Commercial
Building Code. The requirements shall include: Insurance
Department, including:
(1) Standard standard wood frame, brick, block or
veneer construction;
(2) One story in height; Two stories in height are
allowed provided:
(a) Neither floor shall be greater than
1800 square feet in area.
(b) No aged or physically infirm persons
may be housed on the second floor.
(c) No required participant facilities shall
be located on the second floor.
(d) A complete fire alarm system shall be
installed with pull stations on each
floor.
(e) Interconnected products of
combustion detectors directly wired
to the house current shall be installed
on each floor;
(3)(2) Attic cannot attic shall not be used for storage;
(4)(3) Porches porches and stoops must shall be
protected by handrails;
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370
(5)(4) Steps must steps shall be protected by
handrails; and
(5) all entrances, pathways and exits shall adhere
to the North Carolina State Accessibility Code.
(6) Corridor:
(a) in existing buildings, a minimum
width of three feet;
(b) in new buildings, a minimum width
of three and one-half feet;
(c) well lighted sufficiently enough for
residents to see clearly;
(7) Outside entrances:
(a) All outside doors must be three feet
wide;
(b) Must be at ground level;
(c) All steps, porches, ramps or stoops
protected by handrails.
Authority G.S. 143B-153.
10A NCAC 06R .0702 FIRE AND SAFETY
REQUIREMENTS
Adult Day Care Homes shall:
(1) have fire extinguishers of the type
recommended by the fire inspector and
governed by the North Carolina Fire
Prevention Code, centrally located in the
kitchen;
(2) provide automatic station products of
combustion type smoke detectors as required
by the North Carolina Fire Prevention Code;
(3) provide listed heat detectors in the attic and
basement from the approved list in the North
Carolina Fire Prevention Code; and
(4) provide a fire safety and evacuation plan to be
prepared according to requirements of the
North Carolina Fire Prevention Code.
(a) Fire extinguishers of the type recommended by the fire
inspector but no less than a two and one-half gallon water type,
centrally located and a dry powder or CO(2) type in the kitchen.
(b) Provide automatic single station U.L. products of
combustion type smoke detectors as determined by the local fire
department or local building inspector as appropriate. These
units must be operated by the house current. U.L. approved heat
detectors in the attic and basement.
(c) Other U.L. approved fire detection system as required by
city ordinances or county building inspectors.
(d) A written evacuation plan, in case of fire, approved by the
local fire department, must be posted and rehearsed four times
each year by staff and participants.
Authority G.S. 143B-153.
10A NCAC 06R .0703 OTHER
Adult day care programs initially certified after January 1, 2003,
or those that make structural building modifications after this
date, shall comply with the North Carolina building codes where
are hereby incorporated by reference, including subsequent
amendments and additions. Copies of the building codes may be
obtained from the North Carolina Department of Insurance,
Office of State Fire Marshall, 2101 Mail Service Center,
Raleigh, NC 27699-2101, or telephone (919) 661-5880, at a cost
of fifty dollars ($50.00); or available at the following website:
http://www.ncdoi.com/OSFM/default.asp.
(a) An approved central heating system (portable heaters of any
kind are not allowed).
(b) An approved hot water tank large enough to provide
continuous h